Compliance Tester III
Company: Capital One
Location: Richmond
Posted on: October 29, 2024
Job Description:
West Creek 3 (12073), United States of America, Richmond,
VirginiaCompliance Tester IIILevel: Principal AssociateThe
Corporate Compliance team is seeking an experienced Principal
Associate who will be responsible for executing risk-based
compliance transaction and control testing under the leadership of
a team leader, for the purpose of independently validating business
line adherence to applicable Laws, Regulations, and Guidance. A
successful candidate enjoys developing a deep understanding of
regulatory requirements, conducting testing, and drawing
conclusions based on critical thinking, judgment and analysis to
validate adherence. The role requires the ability to work
cross-functionally with 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. - -Responsibilities will include (but may not
be limited to):
- Guided by team leadership, executing targeted, complex testing
for line of business compliance requirements in alignment with team
and program methodology.
- Suggesting changes to testing and performing high risk testing
as needed
- Managing testing schedules to ensure all tasks and reporting
are completed within established timeframes.
- Obtaining and analyzing test data from multiple sources,
following documented test plans, and systematically documenting the
work and results.
- Supporting and initiating efforts to improve data sourcing and
partnering with business and IT areas to develop improved data
sources
- Developing new ways to test large populations of data
- Demonstrating the ability to explore and quickly grasp new
technologies to progress varied initiatives.
- Reviewing tests executed by peers for accuracy and adherence to
test procedures.
- Systematically retaining documents that substantiate test
results
- Establishing and maintaining strong relationships with
Compliance Advisors and Business Areas
- Assisting in communicating results to Compliance Officers,
Compliance Advisors and Business Area PartnersBasic Qualifications:
- Bachelor's degree or Military Experience
- At least 2 years of experience in Compliance Testing, Risk
Management, Compliance Monitoring, Quality Assurance, Audit,
International/Global Trade, Privacy, or Enterprise Services
-Preferred Qualifications:
- 3+ years of experience in Compliance Testing, Risk Management,
Compliance Monitoring, Quality Assurance, Audit,
International/Global Trade, Privacy, or Enterprise Services -
- Strong working knowledge of international laws and regulations
as they relate to US companies operating in different countries,
with an emphasis on international privacy laws and regulations
- Strong problem-solving and conceptual thinking skills
- Strong communication skills
- Compliance related certifications (Certified Regulatory
Compliance Manager(CRCM), Certified Information Privacy
Professional(CIPP))
- Working knowledge of 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 -. 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.If you have visited our website in search of information
on employment opportunities or to apply for a position, and you
require an accommodation, please contact Capital One Recruiting at
1-800-304-9102 or via email at . All information you provide will
be kept confidential and will be used only to the extent required
to provide needed reasonable accommodations.For technical support
or questions about Capital One's recruiting process, please send an
email to Capital One does not provide, endorse nor guarantee and is
not liable for third-party products, services, educational tools or
other information available through this site.Capital One Financial
is made up of several different entities. Please note that any
position posted in Canada is for Capital One Canada, any position
posted in the United Kingdom is for Capital One Europe and any
position posted in the Philippines is for Capital One Philippines
Service Corp. (COPSSC).
Keywords: Capital One, Portsmouth , Compliance Tester III, IT / Software / Systems , Richmond, Virginia
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