Compliance Tester II

Capital One is a financial services company seeking a Compliance Tester II to perform second-line-of-defense compliance reviews. The role independently validates business adherence to laws, regulations, and risk-management requirements; analyzes data, manages testing documentation and schedules, collaborates with business partners, and supports audits and examinations.

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 timeframes 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

Preferred

• 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
• Bachelor’s Degree
• Google Workspace
• Reveal
• Consumer Compliance Monitoring
• Compliance Auditing
• Financial Services Compliance
• Data Analysis
• Data-Driven Recommendations
• Robotic Process Automation
• Optical Character Recognition
• Natural Language Processing
• Data Schemas
• Data Structures
• Data Analytics
• Testing Approach Development
• SQL
• Python
• Script Analysis
• Script Design Review
• Script Operations Review
• Collaboration
• Recommendation Development

Benefits

• 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. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

Company

• Banking, credit card, auto loan, and savings services
• Mclean, Virginia, USA
• http://www.capitalone.com/
• Founded in 1994
• 10001+ employees

Qualifications

• High School Diploma, GED or equivalent certification
• At least 2 years of experience in audit, compliance, risk management, control or transaction reviews
• At this time, Capital One will not sponsor a new applicant for employment authorization for this position
• 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

Required skills

• Auditing, Compliance Monitoring, Data Analysis, Data Schemas, Google G-Suite, Natural Language Processing, Optical Character Recognition, Python, Reveal, Risk Management, Robotic Process Automation, SQL

Preferred skills

• Bachelor's Degree, Proficiency with Google G-Suite and Reveal

Experience

• 2+ years