Plano 5 (31065), United States of America, Plano, Texas
Senior Compliance Testing Associate
The Corporate Compliance team is seeking an experienced Senior Associate who will be responsible for executing risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable Laws, Regulations, and Guidance. A successful candidate enjoys developing a deep understanding of requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with both business partners and compliance advisors and the ability to work autonomously. In addition, this role requires great attention to detail and excellent verbal and written communication skills.
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Responsibilities will include (but may not be limited to):
- Under the leadership of a team leader, executing targeted transaction testing for consumer compliance requirements.
- Managing testing schedules to ensure all tasks and reporting are completed within established timeframes.
- Analyzing data from multiple sources and systematically documenting the work and results.
- Develop new ways to test large populations of data
- Reviewing transaction tests executed by peers for accuracy and adherence to test procedures.
- Establishing and maintaining strong relationships with Compliance Advisors and Business Areas as needed.
- Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives
- Assisting in communicating results to Compliance Officers, as needed.
Basic Qualifications
- High School Diploma, GED or equivalent certification
- At least 1 year of experience in accounting, audit, or analytics
Preferred Qualifications
- Bachelor's degree
- 2+ years of experience working in a highly regulated industry or financial services, specifically within accounting, audit, or an analytical discipline
- 2+ years of financial services consumer compliance monitoring experience
- 2+ years of consumer compliance auditing experience
- Strong problem-solving and conceptual thinking skills
- Strong communication skills
- Experience creating effective presentations
- Working knowledge of basic statistics
- Working knowledge of cloud data structure (snowflake)
- Scripting experience in Python and SQL
- Experience creating test scripts using SQL and Python to test full populations for key attributes
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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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