The Compliance Tester Principal Associate performs a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable Privacy laws and regulations. The Compliance Tester III will be responsible for executing complex risk-based compliance transaction testing for the purpose of independently validating business line adherence to applicable consumer laws and regulations including, but not limited to: CCPA, CANSPAM, FCRA, FACTA, TCPA, GLBA and Regulation P requirements.
Additionally, the Compliance Tester III performs a key second line of defense role helping ensure the Enterprise Services Lines of Business are compliant with applicable laws and regulations. This is an exciting and dynamic space involving subjects ranging from innovative digital and technological products and services to managing third party relationships.
As a Compliance Tester III, you will design and execute Compliance tests based on the line of business, the regulatory risks that business faces, and internal control processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent monitoring for the lines of business against Capital One’s risk management framework.
Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards
Develop and execute test plans, continually validating and improving existing test design while also identifying new opportunities to execute testing in high risk areas
Obtain and analyze test data, supporting and initiating efforts to improve data sourcing with business partners and IT support teams
Identify control deficiencies, evaluate their risk implications, and draw the appropriate conclusions to best communicate results with the lines of business
Manage to testing schedules to ensure all test results are completed within established timeframes and documented within systems of record
Review tests executed by peers for accuracy and adherence to test procedures
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
Exercise professional skepticism and judgement
High School Diploma, GED or equivalent certification
At Least 2 years of experience in audit, compliance, quality assurance or testing
Bachelor’s Degree or Military Experience
At least 3 years of financial services consumer compliance monitoring, auditing, or compliance testing experience
Experience in assessing information technology processes and control frameworks and/or third party management compliance processes
Experience working in an ambiguous environment
Certified Regulatory Compliance Manager (CRCM) accreditation
Proficiency with Google G-Suite
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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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.
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com
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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).
Who We Are
At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.
Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.