Small Business Card Compliance Tester - Principal Associate (Remote-Eligible)

Capital One
Richmond, Virginia
Jun 26, 2022
Jul 25, 2022
Full Time
West Creek 2 (12072), United States of America, Richmond, Virginia

Small Business Card Compliance Tester - Principal Associate (Remote-Eligible)

The Small Business Card division within Capital One is comprised of highly motivated professionals on a mission to become the leading purchasing program in America for the small businesses and small business owners we serve. As a Compliance Tester III (Principal Associate), you will have the opportunity to ensure that Small Business Card remains positioned to deliver industry-leading results by elevating our credit, compliance, and operational control environments to best in class. You will have responsibility for ensuring that the Small Business Card controls are designed and implemented in a manner that meets the intent of SBC well managed best practices as well as enterprise policies. Attention to detail is critical in this role to ensure that controls are operating in a manner as intended and the corresponding risks are appropriately mitigated. This role supports critical priorities for the Small Business Card organization and will provide the necessary expertise to enable the organization to effectively govern some of the most critical aspects within the Small Business credit, operational and compliance ecosystems.

The Compliance Tester III will support Small Business Card by:
  • Managing a team of risk specialists who partner across the business to test controls
  • Developing and executing control testing strategy and timeline
  • Reviewing and overseeing testing performed by testing resources
  • Documenting and tracking issues; collaborating with control intent owners to ensure remediation plans are established and adhered to
  • Managing, implementing and delivering on a subset of the program deliverables

Additional responsibilities will include (but may not be limited to):
  • Guided by team leadership, execute targeted, complex testing
  • Suggest changes to testing or perform high risk testing as needed
  • Develop new complex test plans, continually validate and improve test design
  • Manage 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
  • Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources
  • Ensure documentation is complete and remains up to date and reproducible in relevant systems of record
  • Establish and maintain strong relationships with Compliance Advisors and Business Areas
  • Assisting in communicating results to Business Areas
  • Track inspection results for ongoing analysis and trend reporting
  • Assist management in the development of the inspection schedules and trend reporting
  • Review testing executed by peers for accuracy and adherence to test procedures
  • Support audit, exams, and Independent Risk Management (IRM) as needed

Basic Qualifications:
  • At least 2 years of experience in Control Testing or Internal Audit

Preferred Qualifications:
  • Bachelors Degree or military experience
  • 4+ years of compliance monitoring or 4+ years of auditing experience
  • 4+ years of experience working in financial services, specifically within accounting, or 4+ years of experience working in financial services, specifically within audit, or 4+ years of experience working in financial services, specifically within compliance
  • CAMS certificate or willing to work towards obtaining the certificate

"Capital One is open to hiring a Remote Employee for this opportunity."

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.

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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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