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About the Role
The Principal Associate Compliance Tester performs a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Principal Associate will be responsible for executing complex risk-based compliance reviews for the purpose of independently validating business line adherence to applicable laws and regulations.
Responsibilities
- Testing adherence to business regulatory requirements
- Testing data and automation for adherence to regulatory requirements
- Managing compliance to appropriate testing document retention guidelines
- Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards
- Obtain and analyze data, supporting efforts to improve internal program elements and testing innovation with business partners
- Manage 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, especially when relaying technical information and data to non-technical stakeholders
- Exercise professional skepticism and judgement
Requirements
- High School Diploma, GED or equivalent certification
- At least 3 years of experience in audit, compliance, risk management, control or transaction reviews
Skills
- Proficiency with Google G-Suite and Reveal
- Analyzing data from various sources and making recommendations based on data
- Working knowledge of technology testing solutions (Robotics Processing Automation, Optical Character Recognition, Natural Language Processing)
- Basic understanding of data schemas or data structure
- Experience engaging with data analytics teams to help drive innovative testing approaches
- Basic knowledge of data and software scripts using SQL and Python to perform effective challenge on the design and operations of the scripts
Location
- Jericho, NY
- Chicago, IL
- McLean, VA
- New York, NY
- Plano, TX
- Richmond, VA
- Riverwoods, IL
- Wilmington, DE
Work Type
- full-time
Experience Level
- 3+ years of experience
- 4+ years of experience
Education Level
- High School Diploma, GED or equivalent certification
- Bachelor's Degree
Salary/Compensations
- $131,800 - $150,500
- $109,900 - $125,400
- $120,800 - $137,900
Benefits
- Comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
About the Company
- Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.
- 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.
Equal Opportunity
- Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.