Sr Associate Compliance Tester

Capital One
Richmond, Virginia
May 15, 2022
Jun 13, 2022
Full Time
West Creek 3 (12073), United States of America, Richmond, Virginia

Sr Associate Compliance Tester

The US Card Compliance Senior Associate performs a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Senior Associate will be responsible for executing complex risk-based compliance transaction reviews for the purpose of independently validating business line adherence to applicable laws and regulations including, but not limited to: FCRA, SCRA, MLA, Regulation B, and Regulation Z requirements.

As a Compliance Senior Associate, you will execute compliance reviews based on the line of business, the regulatory risks that business faces, and internal control processes. 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.

  • Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards
  • Obtain and analyze data, supporting and initiating efforts to improve data sourcing and innovation with business partners and IT support teams
  • Manage to 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
  • Exercise professional skepticism and judgement

Basic Qualifications:
  • High School Diploma, GED or equivalent certification
  • At least 2 years of experience in audit, compliance, risk management, control or transaction reviews

Preferred Qualifications:
  • Bachelor's Degree or Military Experience
  • Proficiency with Google G-Suite
  • Proficiency with Workiva
  • At least 3 years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience
  • Certified Regulatory Compliance Manager (CRCM) accreditation

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.

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 . 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

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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).

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