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Lead Compliance Associate- Testing

Job ID R32223 Updated date 08/21/2017
North York (93006), Canada, North York,Toronto, Ontario,

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.

Lead Compliance Associate- Testing

At Capital One, we’re building a leading information-based technology company. We continue to come up with innovative ways to do things while remaining true to our business goals. Our entrepreneurial spirit and drive to stand out in the industry has led us to become a Fortune 500 company, one of the top 50 employers in the GTA and one of Canada’s best places to work. It’s here you’ll find a fast-paced environment that values your collaborative, analytical and creative abilities.

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.

Lead Compliance Associate- Testing

Overview:

In this role, reporting to a Compliance Manager, you will perform a key second line of defense role within our Compliance Testing team, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. You will be responsible for:

Testing adherence to business regulatory requirements;

• Testing risk based compliance transactions; and

• Review compliance controls to determine effectiveness.

Responsibilities:

• Propose changes to testing calendars, based on internal/external risk factors;

• Develop test plans, continually validate and improve test design;

• Conduct sample based reviews of completed tests, to ensure adherence to corporate policies;

• Adhere to testing 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;

• Establish and maintain strong relationships with Compliance Advisors and Business Areas; and

• Manage a team of Test Performers.    

Basic Qualifications:

• Bachelors’ Degree

• Proficient in Microsoft Office

• At least 2 years of experience working in a regulated industry, financial services or audit

Preferred Qualifications:

• Bachelor Degree in Auditing, Accounting, Finance, Economics, Information Systems or Business Administration

• 2-5 years of financial services consumer compliance monitoring or auditing experience

• 3+ years of experience working in a regulated industry and/or financial services, specifically within accounting, audit or an analytical discipline

• Fluent in French and English

• Experience in analyzing and manipulating data or data analytics

Capital One Canada is an equal opportunity employer committed to fostering a diverse and inclusive work environment. We consider all qualified applicants and will meet the needs of those requiring reasonable accommodations.

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.

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).