Compliance Tester II

Compliance Tester II
** The Senior Associate Compliance Tester performs a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Senior Associate will be responsible for executing complex risk-based compliance reviews for the purpose of independently validating business line adherence to applicable laws and regulations.*
* ** As a Compliance Senior Associate, you will execute compliance reviews based on the line of business and the regulatory risks that business faces. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent monitoring for the lines of business against Capital One's risk management framework.*
* ** The Senior Associate Compliance Tester will support lines of business by:**
* ** Testing adherence to business regulatory requirements;**
* ** Testing data and automation for adherence to regulatory requirements;**
* ** Managing compliance to appropriate testing document retention guidelines*
* ** Responsibilities**
* ** Demonstrate an understanding of business processes and related regulatory and compliance standards**
* ** Obtain and analyze data, supporting efforts to improve internal program elements and testing innovation with business partners**
* ** Manage schedules to ensure all results are completed within established time frames and documented within systems of record**
* ** May assist with the execution of assessment plans by continually validating and improving existing design while also identifying new opportunities to execute reviews in high risk areas**
* ** Establish and maintain strong relationships with Compliance Advisors and Business Areas**
* ** Support Compliance audit and exams as needed**
* ** Demonstrate strong problem-solving and conceptual skills**
* ** Demonstrate strong written and verbal communication skills, especially when relaying technical information and data to non-technical stakeholders**
* ** Exercise professional skepticism and judgement*
* *
* Basic Qualifications:

**
* ** High School Diploma, GED or equivalent certification**
* ** At least 2 years of experience in audit, compliance, risk management, control or transaction reviews*
* *
* Preferred Qualifications:

**
* ** Bachelor's Degree**
* ** Proficiency with Google G-Suite and Reveal**
* ** 3+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience**
* ** 2+ years of experience analyzing data from various sources and making recommendations based on data**
* ** Working knowledge of technology testing solutions (Robotics Processing Automation, Optical Character Recognition, Natural Language Processing)**
* ** 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 to perform effective challenge on the design and operations of the scripts*
* ** At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
** 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.

Chicago, IL: $87,700 - $100,100 for Compliance Tester IIJericho, NY: $105,300 - $120,100 for Compliance Tester IIMcLean, VA: $96,500 - $110,100 for Compliance Tester IINew York, NY: $105,300 - $120,100 for Compliance Tester IIPlano, TX: $87,700 - $100,100 for Compliance Tester II Richmond, VA: $87,700 - $100,100 for Compliance Tester II Riverwoods, IL: $87,700 - $100,100 for Compliance Tester II Wilmington, DE: $87,700 - $100,100 for Compliance Tester II 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 candidate’s 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…