Senior Compliance Tester – Risk & Regulatory Reviews

Capital One; New York (NY); On-site; USD 132,000 - 151,000; Full time

Job summary

Capital One is seeking a Principal Associate Compliance Tester to conduct risk-based compliance reviews and independently validate adherence to laws and regulations across business lines. You will execute complex testing, collaborate with Compliance professionals, and support audits and exams in a dynamic regulatory environment.

The role emphasizes testing adherence to regulatory requirements, data analysis, and maintaining testing documentation while coordinating with business areas.

Qualifications

• High School Diploma, GED or equivalent certification.
• At least 3 years of experience in audit, compliance, risk management, control or transaction reviews.
• Bachelor's Degree (preferred).
• Proficiency with Google G-Suite and Reveal.
• 4+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience.
• 3+ years of experience analyzing data from various sources and making recommendations based on data.
• Working knowledge of technology testing solutions (Robotics Process Automation, Optical Character Recognition, Natural Language Processing).
• Basic understanding of data schemas or data structure and experience engaging with data analytics teams to help drive innovative testing approaches.
• Basic knowledge of data and software scripts using SQL and Python to perform effective challenge on the design and operations of the scripts.

Responsibilities

• Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards
• Obtain and analyze data, supporting efforts to improve internal program elements and testing innovation with business partners
• Manage schedules to ensure all results are completed within established timeframes and documented within systems of record
• May assist with the execution of assessment plans by continually validating and improving existing design while also identifying new opportunities to execute reviews in high risk areas
• Establish and maintain strong relationships with Compliance Advisors and Business Areas
• Support Compliance audit and exams as needed
• Demonstrate strong problem-solving and conceptual skills
• Demonstrate strong written and verbal communication skills, especially when relaying technical information and data to non-technical stakeholders
• Exercise professional skepticism and judgement

Job description

Capital One is seeking a Principal Associate Compliance Tester to conduct risk-based compliance reviews and independently validate adherence to laws and regulations across business lines. You will execute complex testing, collaborate with Compliance professionals, and support audits and exams in a dynamic regulatory environment.

The role emphasizes testing adherence to regulatory requirements, data analysis, and maintaining testing documentation while coordinating with business areas.