Compliance Tester III Principal Associate
Compliance Tester III Principal Associate
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Job Description
Capital One is a diversified bank that offers a broad array of financial products and services to consumers small business and commercial clients. Ranked #127 on the Fortune 500 Capital One is one of the nations top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts ideas and backgrounds guided by our shared Values come together to make Capital One a great company and a great place to work.
Job Description:
The Compliance Tester III (Principal Associate) performs a key second line of defense role to help ensure corporate initiatives and departmental processes across all applicable lines of business specifically within the Capital One Commercial Compliance Testing team are met. The Compliance Tester III will execute riskbased compliance transaction or control testing under the leadership of a team leader for the purpose of independently validating Capital One activities by determining compliance with applicable laws and regulations related to but not limited to the National Futures Association (NFA) Commodities Futures Trade Commission (CFTC) Securities and Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA) and Flood Disaster Protection Act (FDPA).
Responsibilities will include:
Under the leadership of a team leader execute targeted transaction or control testing for applicable regulatory requirements.
Manage testing schedules to ensure all tasks and reporting are completed within established timeframes.
Analyze data from multiple sources and systematically document the work and results.
Support management and review transaction and control tests executed by peers for accuracy and adherence to testing methodology.
Participate in Annual Planning.
Establish and maintain strong relationships with Compliance Advisors and Business areas as needed.
Assist in communicating results to Compliance Officers Advisors and Business areas as needed.
Basic Qualifications:
High school diploma GED or equivalent certification
At least 3 years of experience testing or monitoring in a compliance department for an institutional broker dealer or a swap dealer or at least 3 years of experience performing a compliance advisory role or at least 3 years of experience at a regulator.
Preferred Qualifications:
Bachelors degree in Auditing Accounting Finance Economics Information Systems or Business Administration
4 years of experience testing or monitoring
4 years of experience as a compliance advisor in a compliance department for an institutional broker dealer or swap dealer
4 years of experience with NFA FINRA SEC or CFTC
Proficient knowledge of swaps (interest rate or foreign exchange or commodities) or derivatives or futures
Proficient knowledge of CFTC NFA SEC FINRA and FDPA regulations.
*At this time Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum fulltime annual salaries for this role are listed below by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for parttime roles will be prorated based upon the agreed upon number of hours to be regularly worked.
McLean VA: $117300 $133900 for Compliance Tester IIICandidates hired to work in other locations will be subject to the pay range associated with that location and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidates offer letter.
This role is also eligible to earn performance based incentive compensation which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.Capital One offers a comprehensive competitive and inclusive set of health financial and other benefits that support your total wellbeing. Learn more at theCapital One Careers website. Eligibility varies based on full or parttime status exempt or nonexempt status and management level.
This role is expected to accept applications for a minimum of 5 business days.No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy childbirth or related medical conditions) race color age national origin religion disability genetic information marital status sexual orientation gender identity gender reassignment citizenship immigration status protected veteran status or any other basis prohibited under applicable federal state or local law. Capital One promotes a drugfree workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries including to the extent applicable Article 23A of the New York Correction Law; San Francisco California Police Code Article 49 Sections; New York Citys Fair Chance Act; Philadelphias Fair Criminal Records Screening Act; and other applicable federal state and local laws and regulations regarding criminal background inquiries.If you have visited our website in search of information on employment opportunities or to apply for a position and you require an accommodation please contact Capital One Recruiting ator via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital Ones recruiting process please send an email to
Capital One does not provide endorse nor guarantee and is not liable for thirdparty products services educational tools or other information available through this site.
Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).
Required Experience:
Staff IC
Employment Type
Full-Time
