Compliance Tester III – Retail Bank

The Compliance Tester III (Principal Associate) performs a key second line of defense role to help ensure business processes are met across all applicable lines of business specifically within the Capital One Retail Bank Premium Products & Experiences (PPX) and Shopping Compliance Testing team. The Compliance Tester III will execute riskbased control reviews under the leadership of a team lead for the purpose of independently validating business line adherence to applicable Laws including but not limited to: Regulations CC D DD E and FCRA.

As a Compliance Principal Associate you will execute control reviews based on the line of business the regulatory risks that business faces and internal processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent testing for the lines of business against Capital Ones risk management framework.

Responsibilities will include (but may not be limited to):

• Under the leadership of a team leader execute targeted complex control reviews for line of business compliance requirements to effectively challenge business controls in accordance with team program and enterprise methodologies.

• Manage schedules to ensure all tasks and reporting are completed within established timeframes.

• Obtain and analyze test data from multiple sources following documented test plans testing protocols and leveraging job aids as needed.

• Develop innovative ways to approach control reviews.

• Identify and implement new technologies and innovative concepts.

• Demonstrate an understanding of testing methodology business processes control frameworks and related regulatory and compliance requirements.

• Establish and maintain strong relationships with Compliance Advisors the Risk Office and Business areas.

• Ensure engagement with proper points of contact throughout the testing process.

• Systematically retain documents that substantiate control reviews with a high level of accuracy.

• Review deliverables executed by peers for accuracy and adherence to procedures.

• Submit control review results in the system of record.

• Communicate results to Compliance Officers Advisors 1st Line of Defense Testing and Business area as needed.

• Ability to work cooperatively and effectively with supporting team members to meet departmental goals.

• Maintain strong time management organizational and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail.

Basic Qualifications:

• High School Diploma GED or equivalent certification

• At least 3 years of experience in audit compliance risk management controls or transaction reviews

• At least 5 years of experience in Financial Services

Preferred Qualifications:

• Bachelors degree in Auditing Accounting Finance Economics Information Systems or Business Administration

• 6 years of experience in financial services monitoring auditing risk management or compliance experience

• Certified Regulatory Compliance Manager (CRCM) accreditation Fair Credit Reporting Act (FCRA) for Data Furnishers Certified Information Privacy Professional (CIPP) Certified Fraud Examiner (CFE) Certified AntiMoney Laundering Specialist (CAMS)

• Experience analyzing test scripts using SQL/Python to test full populations

• Proficiency with Microsoft Office and Google GSuite

• Strong communication skills

• Strong problemsolving and conceptual thinking skills

• Knowledge of data analytics Optical Character Reader Robotic Process Automation or Artificial Intelligence

• Basic understanding of data schemas or cloud data structure

• Experience with data analytics teams to help drive innovative testing approaches

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.

Candidates 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.

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.

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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).