Compliance Tester III - Retail Bank
- Capital One Services II, LLC Expired
- Wilmington, Delaware
- Full Time
This job ad was removed 6 days ago.
Job Description
Compliance Tester III - Retail Bank
at Capital One Services II, LLC in Wilmington, Delaware, United States
Job Description
Compliance Tester III - Retail Bank
The Compliance Tester III (Principal Associate) performs a key second line of defense role, to help ensure business processes are met across all applicable lines of business, specifically within the Capital One Retail Bank, Premium Products & Experiences (PPX) and Shopping Compliance Testing team. The Compliance Tester III will execute risk-based control reviews under the leadership of a team lead, for the purpose of independently validating business line adherence to applicable Laws including, but not limited to: Regulations CC, D, DD, E, and FCRA.
As a Compliance Principal Associate, you will execute control reviews based on the line of business, the regulatory risks that business faces, and internal processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent testing for the lines of business against Capital One's risk management framework.
Responsibilities will include (but may not be limited to):
Under the leadership of a team leader, execute targeted, complex control reviews for line of business compliance requirements to effectively challenge business controls in accordance with team, program and enterprise methodologies.
Manage schedules to ensure all tasks and reporting are completed within established timeframes.
Obtain and analyze test data from multiple sources, following documented test plans, testing protocols, and leveraging job aids as needed.
Develop innovative ways to approach control reviews.
Identify and implement new technologies and innovative concepts.
Demonstrate an understanding of testing methodology, business processes, control frameworks, and related regulatory and compliance requirements.
Establish and maintain strong relationships with Compliance Advisors, the Risk Office and Business areas.
Ensure engagement with proper points of contact throughout the testing process.
Systematically retain documents that substantiate control reviews with a high level of accuracy.
Review deliverables executed by peers for accuracy and adherence to procedures.
Submit control review results in the system of record.
Communicate results to Compliance Officers, Advisors, 1st Line of Defense Testing and Business area, as needed.
Ability to work cooperatively and effectively with supporting team members to meet departmental goals.
Maintain strong time management, organizational and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail.
Basic Qualifications:
High School Diploma, GED or equivalent certification
At least 3 years of experience in audit, compliance, risk management, controls, or transaction reviews
At least 5 years of experience in Financial Services
Preferred Qualifications:
Bachelor's degree in Auditing, Accounting, Finance, Economics, Information Systems, or Business Administration
6+ years of experience in financial services monitoring, auditing, risk management, or compliance experience
Certified Regulatory Compliance Manager (CRCM) accreditation, Fair Credit Reporting Act (FCRA) for Data Furnishers, Certified Information Privacy Professional (CIPP), Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS)
Experience analyzing test scripts using SQL/Python to test full populations
Proficiency with Microsoft Office and Google G-Suite
Strong communication skills
Strong problem-solving and conceptual thinking skills
Knowledge of data analytics, Optical Character Reader, Robotic Process Automation or Artificial Intelligence
Basic understanding of data schemas or cloud data structure
Experience with data analytics teams to help drive innovative testing approaches
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... For full info follow application link.
Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.
All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.
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; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
at Capital One Services II, LLC in Wilmington, Delaware, United States
Job Description
Compliance Tester III - Retail Bank
The Compliance Tester III (Principal Associate) performs a key second line of defense role, to help ensure business processes are met across all applicable lines of business, specifically within the Capital One Retail Bank, Premium Products & Experiences (PPX) and Shopping Compliance Testing team. The Compliance Tester III will execute risk-based control reviews under the leadership of a team lead, for the purpose of independently validating business line adherence to applicable Laws including, but not limited to: Regulations CC, D, DD, E, and FCRA.
As a Compliance Principal Associate, you will execute control reviews based on the line of business, the regulatory risks that business faces, and internal processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent testing for the lines of business against Capital One's risk management framework.
Responsibilities will include (but may not be limited to):
Under the leadership of a team leader, execute targeted, complex control reviews for line of business compliance requirements to effectively challenge business controls in accordance with team, program and enterprise methodologies.
Manage schedules to ensure all tasks and reporting are completed within established timeframes.
Obtain and analyze test data from multiple sources, following documented test plans, testing protocols, and leveraging job aids as needed.
Develop innovative ways to approach control reviews.
Identify and implement new technologies and innovative concepts.
Demonstrate an understanding of testing methodology, business processes, control frameworks, and related regulatory and compliance requirements.
Establish and maintain strong relationships with Compliance Advisors, the Risk Office and Business areas.
Ensure engagement with proper points of contact throughout the testing process.
Systematically retain documents that substantiate control reviews with a high level of accuracy.
Review deliverables executed by peers for accuracy and adherence to procedures.
Submit control review results in the system of record.
Communicate results to Compliance Officers, Advisors, 1st Line of Defense Testing and Business area, as needed.
Ability to work cooperatively and effectively with supporting team members to meet departmental goals.
Maintain strong time management, organizational and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail.
Basic Qualifications:
High School Diploma, GED or equivalent certification
At least 3 years of experience in audit, compliance, risk management, controls, or transaction reviews
At least 5 years of experience in Financial Services
Preferred Qualifications:
Bachelor's degree in Auditing, Accounting, Finance, Economics, Information Systems, or Business Administration
6+ years of experience in financial services monitoring, auditing, risk management, or compliance experience
Certified Regulatory Compliance Manager (CRCM) accreditation, Fair Credit Reporting Act (FCRA) for Data Furnishers, Certified Information Privacy Professional (CIPP), Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS)
Experience analyzing test scripts using SQL/Python to test full populations
Proficiency with Microsoft Office and Google G-Suite
Strong communication skills
Strong problem-solving and conceptual thinking skills
Knowledge of data analytics, Optical Character Reader, Robotic Process Automation or Artificial Intelligence
Basic understanding of data schemas or cloud data structure
Experience with data analytics teams to help drive innovative testing approaches
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... For full info follow application link.
Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.
All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.
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; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
Compliance Tester III - Retail Bank
at Capital One Services II, LLC in Wilmington, Delaware, United States
Job Description
Compliance Tester III - Retail Bank
The Compliance Tester III (Principal Associate) performs a key second line of defense role, to help ensure business processes are met across all applicable lines of business, specifically within the Capital One Retail Bank, Premium Products & Experiences (PPX) and Shopping Compliance Testing team. The Compliance Tester III will execute risk-based control reviews under the leadership of a team lead, for the purpose of independently validating business line adherence to applicable Laws including, but not limited to: Regulations CC, D, DD, E, and FCRA.
As a Compliance Principal Associate, you will execute control reviews based on the line of business, the regulatory risks that business faces, and internal processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent testing for the lines of business against Capital One's risk management framework.
Responsibilities will include (but may not be limited to):
Under the leadership of a team leader, execute targeted, complex control reviews for line of business compliance requirements to effectively challenge business controls in accordance with team, program and enterprise methodologies.
Manage schedules to ensure all tasks and reporting are completed within established timeframes.
Obtain and analyze test data from multiple sources, following documented test plans, testing protocols, and leveraging job aids as needed.
Develop innovative ways to approach control reviews.
Identify and implement new technologies and innovative concepts.
Demonstrate an understanding of testing methodology, business processes, control frameworks, and related regulatory and compliance requirements.
Establish and maintain strong relationships with Compliance Advisors, the Risk Office and Business areas.
Ensure engagement with proper points of contact throughout the testing process.
Systematically retain documents that substantiate control reviews with a high level of accuracy.
Review deliverables executed by peers for accuracy and adherence to procedures.
Submit control review results in the system of record.
Communicate results to Compliance Officers, Advisors, 1st Line of Defense Testing and Business area, as needed.
Ability to work cooperatively and effectively with supporting team members to meet departmental goals.
Maintain strong time management, organizational and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail.
Basic Qualifications:
High School Diploma, GED or equivalent certification
At least 3 years of experience in audit, compliance, risk management, controls, or transaction reviews
At least 5 years of experience in Financial Services
Preferred Qualifications:
Bachelor's degree in Auditing, Accounting, Finance, Economics, Information Systems, or Business Administration
6+ years of experience in financial services monitoring, auditing, risk management, or compliance experience
Certified Regulatory Compliance Manager (CRCM) accreditation, Fair Credit Reporting Act (FCRA) for Data Furnishers, Certified Information Privacy Professional (CIPP), Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS)
Experience analyzing test scripts using SQL/Python to test full populations
Proficiency with Microsoft Office and Google G-Suite
Strong communication skills
Strong problem-solving and conceptual thinking skills
Knowledge of data analytics, Optical Character Reader, Robotic Process Automation or Artificial Intelligence
Basic understanding of data schemas or cloud data structure
Experience with data analytics teams to help drive innovative testing approaches
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... For full info follow application link.
Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.
All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.
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; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
at Capital One Services II, LLC in Wilmington, Delaware, United States
Job Description
Compliance Tester III - Retail Bank
The Compliance Tester III (Principal Associate) performs a key second line of defense role, to help ensure business processes are met across all applicable lines of business, specifically within the Capital One Retail Bank, Premium Products & Experiences (PPX) and Shopping Compliance Testing team. The Compliance Tester III will execute risk-based control reviews under the leadership of a team lead, for the purpose of independently validating business line adherence to applicable Laws including, but not limited to: Regulations CC, D, DD, E, and FCRA.
As a Compliance Principal Associate, you will execute control reviews based on the line of business, the regulatory risks that business faces, and internal processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent testing for the lines of business against Capital One's risk management framework.
Responsibilities will include (but may not be limited to):
Under the leadership of a team leader, execute targeted, complex control reviews for line of business compliance requirements to effectively challenge business controls in accordance with team, program and enterprise methodologies.
Manage schedules to ensure all tasks and reporting are completed within established timeframes.
Obtain and analyze test data from multiple sources, following documented test plans, testing protocols, and leveraging job aids as needed.
Develop innovative ways to approach control reviews.
Identify and implement new technologies and innovative concepts.
Demonstrate an understanding of testing methodology, business processes, control frameworks, and related regulatory and compliance requirements.
Establish and maintain strong relationships with Compliance Advisors, the Risk Office and Business areas.
Ensure engagement with proper points of contact throughout the testing process.
Systematically retain documents that substantiate control reviews with a high level of accuracy.
Review deliverables executed by peers for accuracy and adherence to procedures.
Submit control review results in the system of record.
Communicate results to Compliance Officers, Advisors, 1st Line of Defense Testing and Business area, as needed.
Ability to work cooperatively and effectively with supporting team members to meet departmental goals.
Maintain strong time management, organizational and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail.
Basic Qualifications:
High School Diploma, GED or equivalent certification
At least 3 years of experience in audit, compliance, risk management, controls, or transaction reviews
At least 5 years of experience in Financial Services
Preferred Qualifications:
Bachelor's degree in Auditing, Accounting, Finance, Economics, Information Systems, or Business Administration
6+ years of experience in financial services monitoring, auditing, risk management, or compliance experience
Certified Regulatory Compliance Manager (CRCM) accreditation, Fair Credit Reporting Act (FCRA) for Data Furnishers, Certified Information Privacy Professional (CIPP), Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS)
Experience analyzing test scripts using SQL/Python to test full populations
Proficiency with Microsoft Office and Google G-Suite
Strong communication skills
Strong problem-solving and conceptual thinking skills
Knowledge of data analytics, Optical Character Reader, Robotic Process Automation or Artificial Intelligence
Basic understanding of data schemas or cloud data structure
Experience with data analytics teams to help drive innovative testing approaches
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... For full info follow application link.
Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.
All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.
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; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
Job ID: 475695164
Originally Posted on: 5/3/2025
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