Capital One
Principal Compliance Tester III - Corporate Functions
Capital One, Richmond, Virginia, United States, 23225
Principal Compliance Tester III - Corporate Functions Join to apply for the
Principal Compliance Tester III - Corporate Functions
role at
Capital One .
The information below covers the role requirements, expected candidate experience, and accompanying qualifications. The Compliance Tester III (Principal Associate) plays a key second line of defense role, ensuring regulatory requirements are met across Capital One's applicable lines of business. The role involves executing complex risk-based compliance transaction testing and control testing under the leadership of a team leader, to validate adherence to laws and regulations related to human resources, legal, and risk management, including but not limited to Executive Order, Diversity and Inclusion (D&I), Family and Medical Leave Act (FMLA), and Overtime Rules. The Compliance Tester III will support lines of business by: Testing adherence to regulatory requirements Managing compliance with document retention guidelines Responsibilities include, but are not limited to: Executing targeted, complex transaction testing for compliance requirements in line with team and Independent Compliance Testing Program methodology. Suggesting testing improvements and performing high-risk testing as needed. Developing and validating test plans. Managing testing schedules to meet deadlines. Analyzing test data and documenting work and results following protocols. Collaborating to improve data sourcing and working with business and IT to develop better data sources. Reviewing peer test and control reviews for accuracy. Communicating test results to stakeholders. Submitting results in the Governance Risk Compliance (GRC) system. Retaining documents that substantiate test results. Participating in Annual Testing Calendar Planning. Building relationships with Compliance Advisors and Business Areas. Supporting ICTT and compliance audits and exams as needed. **Basic Qualifications:** High School Diploma, GED, or equivalent At least 3 years of compliance testing, monitoring, quality assurance, or audit experience **Preferred Qualifications:** Bachelor's Degree in Auditing, Accounting, Finance, Economics, Information Systems, or Business Administration 4+ years of compliance monitoring or auditing experience 4+ years in financial services, specifically in accounting, audit, or compliance Note: Capital One will not sponsor employment authorization for this role at this time. The salary range varies by location, e.g., McLean, VA: $117,300 - $133,900; Plano, TX: $106,700 - $121,700; Richmond, VA: $106,700 - $121,700. Salaries for other locations are based on local pay ranges. The role may include performance-based incentives. Capital One offers comprehensive benefits supporting total well-being. This role is open for applications for at least 5 business days. No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will be considered without regard to various protected statuses.
#J-18808-Ljbffr
Principal Compliance Tester III - Corporate Functions
role at
Capital One .
The information below covers the role requirements, expected candidate experience, and accompanying qualifications. The Compliance Tester III (Principal Associate) plays a key second line of defense role, ensuring regulatory requirements are met across Capital One's applicable lines of business. The role involves executing complex risk-based compliance transaction testing and control testing under the leadership of a team leader, to validate adherence to laws and regulations related to human resources, legal, and risk management, including but not limited to Executive Order, Diversity and Inclusion (D&I), Family and Medical Leave Act (FMLA), and Overtime Rules. The Compliance Tester III will support lines of business by: Testing adherence to regulatory requirements Managing compliance with document retention guidelines Responsibilities include, but are not limited to: Executing targeted, complex transaction testing for compliance requirements in line with team and Independent Compliance Testing Program methodology. Suggesting testing improvements and performing high-risk testing as needed. Developing and validating test plans. Managing testing schedules to meet deadlines. Analyzing test data and documenting work and results following protocols. Collaborating to improve data sourcing and working with business and IT to develop better data sources. Reviewing peer test and control reviews for accuracy. Communicating test results to stakeholders. Submitting results in the Governance Risk Compliance (GRC) system. Retaining documents that substantiate test results. Participating in Annual Testing Calendar Planning. Building relationships with Compliance Advisors and Business Areas. Supporting ICTT and compliance audits and exams as needed. **Basic Qualifications:** High School Diploma, GED, or equivalent At least 3 years of compliance testing, monitoring, quality assurance, or audit experience **Preferred Qualifications:** Bachelor's Degree in Auditing, Accounting, Finance, Economics, Information Systems, or Business Administration 4+ years of compliance monitoring or auditing experience 4+ years in financial services, specifically in accounting, audit, or compliance Note: Capital One will not sponsor employment authorization for this role at this time. The salary range varies by location, e.g., McLean, VA: $117,300 - $133,900; Plano, TX: $106,700 - $121,700; Richmond, VA: $106,700 - $121,700. Salaries for other locations are based on local pay ranges. The role may include performance-based incentives. Capital One offers comprehensive benefits supporting total well-being. This role is open for applications for at least 5 business days. No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will be considered without regard to various protected statuses.
#J-18808-Ljbffr