Senior Compliance Testing Associate - US CardApply now Job ID R88350 Updated date 12/09/2019 Location Chicago, Illinois; Rolling Meadows, Illinois
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.
Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #127 on the Fortune 500, Capital One is one of the nation's top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.
The Corporate Compliance team is seeking an experienced Senior Associate who will be responsible for executing risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable Laws, Regulations, and Guidance. The role involves testing businesses engaged in US Card processes.
Responsibilities will include (but may not be limited to):
-Under the leadership of a team leader, executing targeted transaction testing for consumer compliance requirements.
-Managing to testing schedules to ensure all tasks and reporting are completed within established time frames.
-Analyzing data from multiple sources and systematically documenting the work and results.
-Reviewing transaction tests executed by peers for accuracy and adherence to test procedures.
-Establishing and maintaining strong relationships with Compliance Advisors and Business Areas as needed.
-Assisting in communicating results to Compliance Officers, as needed.
-Travel: Occasional travel is possible (~5-10%) to COF sites.
-High School Diploma or Military experience
-At least 1 year of experience working in compliance or at least 1 year of experience working in financial services.
-At least 2 years of financial services consumer compliance monitoring experience and 2 years of consumer compliance auditing experience
-At least 2 years of financial services compliance monitoring experience and 2 years of compliance auditing experience
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.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.
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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).