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Principal Corporate Compliance Tester - Institutional Broker Dealer

Capital One
New Orleans, Louisiana
Closing date
Oct 12, 2022

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Job Details

Place St Charles (37701), United States of America, New Orleans, Louisiana

Principal Corporate Compliance Tester - Institutional Broker Dealer

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #127 on the Fortune 500, Capital One is one of the nation's top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.

Job Description :

The Principal Corporate Compliance Tester for the Commercial line of business performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with FINRA and SEC applicable laws and regulations. The Principal Corporate Compliance Tester will be responsible for executing complex risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable laws and regulations.

The Principal Corporate Compliance Tester will support lines of business by:
  • Testing adherence to business regulatory requirements;
  • Testing risk based compliance transactions;
  • Managing compliance to appropriate testing the document retention guidelines

Responsibilities will include (but may not be limited to):
  • Under the leadership of a team leader, executing targeted, complex transaction testing for line of business compliance requirements in alignment with team and ICTT methodology and procedures.
  • Suggesting changes to testing and performing high risk testing as needed.
  • Developing test plans, while continually validating and improving test design.
  • Managing testing schedules to ensure all tasks and reporting are completed within established timeframes.
  • Obtaining and analyzing test data from multiple sources and systemically documenting the work and results by following documented test plans, testing protocols and leveraging job aids as needed.
  • Supporting and initiating efforts to improve data sourcing and partnering with business and IT areas to develop improved data sources.
  • Reviewing transaction test executed by peers for accuracy and adherence to test procedures
  • Submitting test results in PRIME.
  • Systematically retain documents that substantiate test results.
  • Establishing and maintaining strong relationships with Compliance Advisors and Business Areas.
  • Supporting ICTT and Compliance audit and exams as needed.

Basic Qualifications:
  • High School Diploma, GED or equivalent certification, or Military experience
  • At least 2 years of compliance experience, or at least 2 years of testing experience for an institutional broker dealer within a financial institution
  • At least 2 years of experience working in financial services specifically within accounting, or at least 2 years of experience working in financial services, specifically within audit

Preferred Qualifications:
  • Bachelor's degree in Auditing, Accounting, Finance, Economics, Information Systems, Business Administration or an analytical discipline
  • At least 5 years of broker dealer compliance monitoring experience, or 5 years of broker dealer compliance testing experience, or 5 years of broker dealer compliance audit experience, specifically within financial services
  • At least 5 years of commercial compliance experience
  • FINRA certifications

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

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).


We Don’t Only Think Big Things—At Capital One, We Do Big Things.

You’re dedicated to your career. You deserve professional satisfaction and personal fulfillment. You belong at Capital One.

Here, every day brings another chance to do impactful work that matters: helping millions of customers confidently manage their money, building stronger communities and delivering truly disruptive tech. You’ll give your all alongside some of the brightest, most resilient people in the industry—and in return, you’ll enjoy the growth opportunities, support, flexibility and benefits you need for an exhilarating life both on and off the job.

Be inspired. Be yourself. That’s #LifeAtCapitalOne.

Creating a Culture of Belonging

At Capital One, we value diversity, inclusion and belonging at our core. We’re building a place of belonging—where everyone can feel seen, heard, valued and free to be their authentic selves. We want to be a place of opportunity—where associates from all backgrounds innovate for our customers and communities, and build meaningful, fulfilling careers.

We endeavor to be a welcoming and inspiring place for all. We seek and embrace diversity. And we’re committed to having a diverse and inclusive workforce, focused on increasing the representation of underrepresented groups, strengthening our culture of inclusion and belonging and harnessing our scale to invest in our communities.

We’re focused on three core principles to advance diversity, inclusion and belonging across Capital One:

Create a culture of belonging where everyone can thrive and innovate

Attract and develop talent from all backgrounds and experiences

Ensure our systems and programs promote fairness and equity

Get a career with more at Capital One.  Discover it for yourself today.

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, sexual orientation, gender identity, protected veteran status, disability or other protected status.


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United States

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