Senior Compliance Tester - Risk & Regulatory Reviews

Capital One; Riverwoods (IL); Sur place; USD 88 000 - 100 000; Plein temps

Résumé du poste

Capital One in Riverwoods, IL seeks a Compliance Tester II to perform second line of defense risk-based compliance reviews and independently validate adherence to applicable laws and regulations. You will test data, manage testing documentation, and support regulatory requirements across business lines in a collaborative environment.

The role requires strong communication, problem solving, and data analysis skills, with experience in financial services compliance.

Qualifications

• 2+ years of experience in audit, compliance, risk management, or reviews.
• High School Diploma, GED, or equivalent certification.
• Bachelor's degree preferred.
• Proficiency with Google G-Suite and Reveal.
• 3+ years of financial services compliance monitoring, auditing, risk management, or compliance experience.
• 2+ years of experience analyzing data from various sources and making recommendations.
• Working knowledge of technology testing solutions (Robotics Processing 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.

Responsabilités

• Demonstrate an understanding of business processes 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

Connaissances

Data analysis

Regulatory testing

Testing documentation

Communication skills

Problem solving

Formation

Bachelor's degree

High School Diploma

Outils

Google G-Suite

Reveal

SQL

Python

RPA

OCR

NLP

Description du poste

Capital One in Riverwoods, IL seeks a Compliance Tester II to perform second line of defense risk-based compliance reviews and independently validate adherence to applicable laws and regulations. You will test data, manage testing documentation, and support regulatory requirements across business lines in a collaborative environment.

The role requires strong communication, problem solving, and data analysis skills, with experience in financial services compliance.