Principal Corporate Compliance Tester
- Employer
- Capital One
- Location
- Richmond, Virginia
- Closing date
- Jun 16, 2021
View more
- Industry
- Financial Services and Banking
- Function
- Finance
- Hours
- Full Time
Job Details
Principal Corporate Compliance Tester
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.
The Compliance Tester III (Principal Associate) performs a key second line of defense role within the Specialty Compliance Testing team. The Compliance Tester III will be responsible for executing well-defined, complex, risk-based compliance transaction testing for the purpose of independently validating business line adherence to applicable laws and regulations, in alignment with team and ICTT methodology and procedures.
Additional responsibilities will include (but may not be limited to):
-Adhering to testing schedules to ensure all tasks and reporting are completed within established timeframes
-Developing test plans and improving test design
-Obtaining and analyzing test data from multiple sources; initiating efforts to improve data sourcing
-Managing compliance to appropriate testing documentation and document retention guidelines to substantiate test results
-Establishing and fostering strong relationships with Compliance Advisors and Business Areas
-Communicating test results to Business Areas
-Assisting in communicating results to Compliance Officers, as needed
-Performing quality assurance on testing executed by Compliance Testers
-Demonstrating strong problem-solving and analytical skills
-Demonstrating strong written and verbal communication skills
Basic Qualifications :
-High School Diploma, GED or equivalent certification
-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, or at least 2 years of experience working in financial services, specifically within compliance
Preferred Qualifications:
-Bachelor's Degree in Auditing, Accounting, Finance, Economics, Information Systems or Business Administration
-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
-Proficient in G Suite applications
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Company
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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