Compliance Tester III, Principal Associate

West Creek 3 (12073), United States of America, Richmond, Virginia
Compliance Tester III, Principal Associate
The US Card Compliance team is seeking an experienced Principal Associate who will be responsible for leading and executing risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently assessing business line adherence to applicable laws, regulations, and guidance. A successful candidate enjoys developing a deep understanding of regulatory requirements, designing and conducting testing, and drawing conclusions based on critical thinking, judgment, and analysis to assess compliance. The role requires the ability to work cross-functionally and develop/maintain strong relationships with partner teams and the ability to work autonomously. In addition, this role requires great attention to detail, excellent verbal and written communication skills, and the ability to succinctly and clearly communicate complex fact patterns to others.
Responsibilities will include, but may not be limited to:

• Executing targeted, complex testing for line of business compliance requirements in alignment with team and program methodology
• Demonstrating an understanding of business processes, control frameworks, and related regulatory and compliance standards
• Managing testing schedules to ensure all tasks and reporting are completed within established timeframes and documented within systems of record
• Systematically retaining documents that substantiate test results
• Reviewing tests executed by colleagues for accuracy and adherence to test plan and procedures
• Developing and executing test plans, continually validating and improving existing design while also identifying new opportunities to execute tests in high risk areas
• Requesting and analyzing data; supporting and initiating efforts to improve data sourcing and driving innovation with business partners and IT support teams
• Demonstrating the ability to explore and quickly grasp new technologies to progress team initiatives
• Communicating results to Compliance Officers, Compliance Advisors, Legal, and Business Area Partners
• Demonstrating strong time management, organizational, and prioritization skills; completing multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
• Exhibiting strong problem-solving and conceptual thinking skills

Basic Qualifications :

• High School Diploma, GED or equivalent certification
• At least 2 years of Microsoft Office or Google Suite experience
• At least 3 years of experience in compliance testing, risk management, compliance monitoring, quality assurance, control review or audit

Preferred Qualifications :

• Bachelor's degree
• 4+ 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
• Experience implementing technology testing solutions (Robotics Processing Automation, Optical Character Recognition, Natural Language processing)
• Certified Regulatory Compliance Manager (CRCM) accreditation
• Proficiency with Excel

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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.
No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. 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 regarding criminal background inquiries.
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