Compliance Tester II
Job Location:
Richmond, VA - USA
Monthly Salary:
Posted:
Application Deadline:
Vacancies:
Job Summary
- Testing adherence to business and regulatory requirements
- Testing risk based compliance transactions
- Control reviews focused on reviewing control activities mitigating risks and requirements
- Execute targeted complex transaction testing for regulatory and line of business compliance requirements in alignment with team and ICTT methodology and procedures
- Execute control reviews under the CCR methodology
- Suggest changes to testing or perform high risk testing as needed
- Manage testing schedules to ensure all tasks and reporting are completed within established timeframes
- Obtain and analyze test data from multiple sources following documented test plans and systematically documenting the work and results
- Develop new ways to test large populations of data
- Review transaction tests executed by peers for accuracy and adherence to test procedures
- Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources
- Systematically retain documents that substantiate test results
- Establish and maintain strong relationships with Compliance Advisors and Business Areas as needed
- Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives
- Assist in communicating results to Compliance Officers and other stakeholders as needed
- High School Diploma GED or equivalent certification
- At least 2 years of experience in compliance testing compliance monitoring quality assurance control review or audit
- Bachelors degree
- 3 years of financial services consumer compliance monitoring experience
- 4 years of consumer compliance auditing experience
- Experience creating presentations
- Experience with Excel SQL Teradata or Redshift
- Scripting experience in Python Perl JavaScript or Shell
The minimum and maximum full-time 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 part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
McLean VA: $96500 - $110100 for Compliance Tester IICandidates 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 well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status exempt or non-exempt 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 (EOE including disability/vet) committed to non-discrimination in compliance with applicable federal state and local laws. Capital One promotes a drug-free 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 23-A of the New York Correction Law; San Francisco California Police Code Article 49 Sections 4901-4920; 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 at 1- or 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.
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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).
