Associate, Compliance Tester Job at Capital One in Richmond

Associate, Compliance Tester

The Corporate Compliance team is seeking an 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. A successful candidate enjoys developing a deep understanding of requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment, and analysis to validate adherence. The role requires the ability to work cross-functionally with both business partners and compliance advisors and the ability to work autonomously.

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 assigned testing timelines to ensure all tasks and reporting are completed within established timeframes.
• Analyzing data from multiple sources and systematically documenting the work and results.
• Developing new ways to test large populations of data.
• Establishing and maintaining strong relationships with Compliance Advisors and Business Areas as needed.
• Demonstrating the ability to explore and quickly grasp new technologies to progress varied initiatives.
• Assisting in communicating results to Compliance Officers, as needed.

Basic Qualifications:

• High School Diploma, GED or equivalent certification.
• At least 2 years of experience in Microsoft Office or Google Suite.
• At least 1 year of experience in compliance testing, compliance monitoring, quality assurance, control review, or audit.

Preferred Qualifications:

• Bachelor’s degree in Accounting, Finance, or Business Administration.
• 2+ years of experience in compliance testing, compliance monitoring, quality assurance, control review, or audit.
• Strong problem-solving and conceptual thinking skills.
• Strong communication skills.
• Working knowledge of cloud data structure (Snowflake).
• Scripting experience in Python or SQL.
• Strong time management, organization, and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail.
• Experience creating test scripts using SQL or Python to test full populations for key attributes.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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.

This role is expected to accept applications for a minimum of 5 business days. 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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law.

Capital One promotes a drug-free workplace.

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