Senior Compliance Testing Specialist

Capital One; Deerfield (IL); On-site; USD 109,000 - 151,000; Full time

Job summary

Capital One is seeking a Principal Associate Compliance Tester to perform second line of defense risk-based compliance reviews and independently validate adherence to laws and regulations. You will execute reviews across lines of business, collaborating with Compliance professionals to monitor risk within Capital One's framework.

The role emphasizes testing regulatory requirements, data processes, and document retention, with opportunities to contribute to assessment plans and testing innovation

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.
• Proficiency with Google G-Suite and Reveal.
• 4+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience.
• 3+ years analyzing data from various sources and making recommendations based on data.
• Working knowledge of robotics process automation, OCR, and NLP.
• 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 for testing script designs.

Responsibilities

• Demonstrate an understanding of business processes, control frameworks, and regulatory standards.
• Obtain and analyze data to support program improvements and testing innovation with business partners.
• Manage schedules to ensure timely results and documentation in systems of record.
• Assist with assessment plans by validating and improving designs and identifying new reviews in high risk areas.
• Establish and maintain strong relationships with Compliance Advisors and Business Areas.
• Support Compliance audits and exams as needed.
• Demonstrate strong problem-solving and conceptual skills.
• Demonstrate strong written and verbal communication to non-technical stakeholders.
• Exercise professional skepticism and judgment.

Skills

Regulatory compliance

Data analysis

Auditing

Risk management

Communication

Automation testing

Education

Bachelor's Degree

High School Diploma or GED

Tools

Google G-Suite

Reveal

Job description

Capital One is seeking a Principal Associate Compliance Tester to perform second line of defense risk-based compliance reviews and independently validate adherence to laws and regulations. You will execute reviews across lines of business, collaborating with Compliance professionals to monitor risk within Capital One's framework.

The role emphasizes testing regulatory requirements, data processes, and document retention, with opportunities to contribute to assessment plans and testing innovation