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 be responsible for ensuring various levels of consumer complaints are resolved in adherence to the Enterprise Complaints Operating Standard. This role will have the opportunity to work with a variety of teams across Capital One.

A successful candidate enjoys developing a deep understanding of requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with both business partners and compliance advisors and the ability to work autonomously. In addition, this role requires great attention to detail and excellent verbal and written communication skills.

• Under the leadership of a team leader, executes targeted reviews and testing for both enterprise wide operating standards and consumer compliance requirements
• Manages testing schedules to ensure all tasks and reporting are completed within established time frames
• Analyzes data from multiple sources and systematically documents the work and results
• Reviews tests executed by peers for accuracy and adherence to test procedures
• Establishes and maintains strong relationships with Business Areas and Compliance Advisors
• Assists in communicating results to Accountable Executives and Compliance Officers, as needed
• Has general understanding of applicable laws and regulations impacting Financial Services products and can identify when a case needs to be escalated due to potential compliance and/or legal exposure
• Leverages 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

• Bachelors Degree
• 3+ years of financial services consumer compliance monitoring or quality assurance experience
• 3+ years complaint handling experience

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.

McLean, VA: $120,800 - $137,900 for Compliance Tester III
Plano, TX: $109,900 - $125,400 for Compliance Tester III
Richmond, VA: $109,900 - $125,400 for Compliance Tester III
Riverwoods, IL: $109,900 - $125,400 for Compliance Tester III
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 comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital 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.

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 City's Fair Chance Act;
Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations concerning criminal background inquiries.