Compliance Tester III

Compliance Tester III

The Compliance Complaints Team within the Compliance organization is seeking an experienced Principal Associate who will be responsible for executing compliance testing and reviews. The Principal Associate will ensure various levels of consumer complaints are resolved in adherence to the Enterprise Complaints Operating Standard. The role provides opportunity to work with a variety of teams across Capital One, requiring deep understanding of requirements, monitoring/testing, and drawing conclusions based on critical thinking, judgment, and analysis.

It also demands cross‑functional collaboration, autonomy, strong attention to detail, and excellent verbal and written communication skills.

• Under the leadership of a team leader, execute targeted reviews and testing for both enterprise‑wide operating standards and consumer compliance requirements.
• Manage testing schedules to ensure all tasks and reporting are completed within established time frames.
• Analyze data from multiple sources and systematically document the work and results.
• Review tests executed by peers for accuracy and adherence to test procedures.
• Establish and maintain strong relationships with Business Areas and Compliance Advisors.
• Assist in communicating results to Accountable Executives and Compliance Officers, as needed.
• Understand applicable laws and regulations impacting Financial Services products and identify when a case needs to be escalated due to potential compliance and/or legal exposure.
• Leverage critical thinking and expertise to anticipate and identify issues.

• High School Diploma, GED, or equivalent certification.
• At least 2 years of experience working in financial services.
• At least 2 years of experience working in Compliance, Legal, Risk, Complaints, or Escalations.

• Bachelor's Degree.
• 3+ years of financial services consumer compliance monitoring or quality assurance experience.
• 3+ years of complaint handling experience.

McLean, VA: $120,800 - $137,900 (Compliance Tester III)
Plano, TX: $109,900 - $125,400 (Compliance Tester III)
Richmond, VA: $109,900 - $125,400 (Compliance Tester III)
Riverwoods, IL: $109,900 - $125,400 (Compliance Tester III)

This role is also eligible to earn performance‑based incentive compensation, which may include cash bonus(es) and/or long‑term incentives. Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits that support your total well‑being.

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.