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Executes risk-based compliance reviews to independently validate business adherence to laws, regulations, and control frameworks. Tests business processes, data, automation, and regulatory controls; analyzes data; documents results; manages review schedules; supports audits and examinations; and partners with Compliance Advisors and business teams to improve testing approaches. The role requires strong judgment, skepticism, communication, and the ability to explain technical findings to nontechnical stakeholders.
Compliance Tester III
The Principal Associate Compliance Tester performs a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Principal Associate will be responsible for executing complex risk-based compliance reviews for the purpose of independently validating business line adherence to applicable laws and regulations.
As a Compliance Principal Associate, you will execute compliance reviews based on the line of business and the regulatory risks that business faces. 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.
The Principal Associate Compliance Tester will support lines of business by:
Responsibilities
Basic Qualifications:
Preferred Qualifications:
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 hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Jericho, NY: $131,800 - $150,500 for Compliance Tester III
Chicago, IL: $109,900 - $125,400 for Compliance Tester III
McLean, VA: $120,800 - $137,900 for Compliance Tester III
New York, NY: $131,800 - $150,500 for Compliance Tester III
Plano, TX: $109,900 - $125,400 for Compliance Tester III
Richmond, VA: $109,900 - $125,400 for Compliance Tester III
Riverwoods, IL: $109,900 - $125,400 for Compliance Tester III
Wilmington, DE: $109,900 - $125,400 for Compliance Tester III
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.
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 Capital One Careers website . 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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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 [email protected] . 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 [email protected]
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).
The Principal Associate Compliance Tester performs a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Principal Associate will be responsible for executing complex risk-based compliance reviews for the purpose of independently validating business line adherence to applicable laws and regulations.
As a Compliance Principal Associate, you will execute compliance reviews based on the line of business and the regulatory risks that business faces. 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.
The Principal Associate Compliance Tester will support lines of business by:
- Testing adherence to business regulatory requirements;
- Testing data and automation for adherence to regulatory requirements;
- Managing compliance to appropriate testing document retention guidelines
Responsibilities
- Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards
- Obtain and analyze data, supporting efforts to improve internal program elements and testing innovation with business partners
- Manage schedules to ensure all results are completed within established timeframes and documented within systems of record
- May assist with the execution of assessment plans by continually validating and improving existing design while also identifying new opportunities to execute reviews in high risk areas
- 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, especially when relaying technical information and data to non-technical stakeholders
- Exercise professional skepticism and judgement
Basic Qualifications:
- High School Diploma, GED or equivalent certification
- At least 3 years of experience in audit, compliance, risk management, control or transaction reviews
Preferred Qualifications:
- Bachelor's Degree
- Proficiency with Google G-Suite and Reveal
- 4+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience
- 3+ years of experience analyzing data from various sources and making recommendations based on data
- Working knowledge of technology testing solutions (Robotics Processing Automation, Optical Character Recognition, Natural Language Processing)
- Basic understanding of data schemas or data structure and experience engaging with data analytics teams to help drive innovative testing approaches
- Basic knowledge of data and software scripts using SQL and Python to perform effective challenge on the design and operations of the scripts
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 hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Jericho, NY: $131,800 - $150,500 for Compliance Tester III
Chicago, IL: $109,900 - $125,400 for Compliance Tester III
McLean, VA: $120,800 - $137,900 for Compliance Tester III
New York, NY: $131,800 - $150,500 for Compliance Tester III
Plano, TX: $109,900 - $125,400 for Compliance Tester III
Richmond, VA: $109,900 - $125,400 for Compliance Tester III
Riverwoods, IL: $109,900 - $125,400 for Compliance Tester III
Wilmington, DE: $109,900 - $125,400 for Compliance Tester III
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.
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 Capital One Careers website . 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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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 [email protected] . 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 [email protected]
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).
Capital One Chicago, Illinois, USA Office
You’ll be steps away from some of the best attractions, restaurants and scenery in Chicago while working from our dynamic office. The space, which features a mix of industrial design and modern fixtures, has everything to help you collaborate, thrive and embrace our future with hybrid work.
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What you need to know about the Chicago Tech Scene
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