Compliance Transaction Tester - Retail Bank
Company: Capital One
Location: East Norwich
Posted on: May 8, 2024
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Job Description:
802 Delaware Avenue (18052), United States of America,
Wilmington, DelawareCompliance Transaction Tester - Retail BankThe
Compliance Tester II (Senior Associate) performs a key second line
of defense role, to help ensure corporate initiatives and
departmental processes comply with applicable laws and regulations.
The Compliance Tester will be responsible for executing defined,
moderately complex, risk-based compliance transaction testing under
the leadership of a team leader, for the purpose of independently
validating business line adherence to applicable consumer laws and
regulations including, but not limited to: Regulations CC, D, DD,
E, and FCRA. As a Compliance Senior Associate, you will execute
Compliance testing based on the line of business, the regulatory
risks that business faces, and internal control processes. You will
collaborate with an experienced and diverse group of Compliance
professionals to provide independent testing for the lines of
business against Capital One's risk management framework.
Responsibilities: Guided by team leadership, execute targeted,
moderately complex transaction testing for line of business
compliance requirements. Manage assigned testing timelines 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 Help drive innovative ways to approach testing.
Demonstrate an understanding of testing methodology, business
processes, control frameworks, and related regulatory and
compliance standards Establish and maintain strong relationships
with Compliance Advisors, the Risk Office and Business Areas Ensure
engagement with proper points of contact throughout the testing
process Systematically retain documents that substantiate test
results with a high level of accuracy Review deliverables executed
by peers for accuracy and adherence to procedures Submit test
results in the system of record Communicate results to Advisors,
Business Areas, and Compliance Officers, as needed Ability to work
cooperatively and effectively with supporting team members to meet
departmental goals. Maintain strong time management, organizational
and prioritization skills; ability to complete multiple concurrent
tasks within close deadlines with a high degree of accuracy and
detail Basic Qualifications: High School Diploma, GED or equivalent
certification At least 4 years of experience working in the
financial services industry At least 2 years of experience in
audit, compliance, risk management, control, or transaction reviews
At least 2 years of experience with Microsoft Office or Google
Suite Preferred Qualifications: Bachelor's Degree 3+ years of
financial services monitoring, auditing, risk management, or
compliance experience Certified Regulatory Compliance Manager
(CRCM) accreditation Experience analyzing test scripts using
SQL/Python to test full populations for key attributes Experience
engaging with data analytics teams to help drive innovative testing
approaches Knowledge of data analytics, Optical Character Reader,
Robotic Process Automation or Artificial Intelligence Basic
understanding of data schemas or cloud data structure to help drive
innovative testing approaches At this time, Capital One will not
sponsor a new applicant for employment authorization for this
position. The minimum and maximum full-time annual salaries for
this role are listed below, by location. Please note that this
salary information is solely for candidates hired to perform work
within one of these locations, and refers to the amount Capital One
is willing to pay at the time of this posting. Salaries for
part-time roles will be prorated based upon the agreed upon number
of hours to be regularly worked. New York City (Hybrid On-Site):
$99,500 - $113,600 for Compliance Tester IICandidates hired to work
in other locations will be subject to the pay range associated with
that location, and the actual annualized salary amount offered to
any candidate at the time of hire will be reflected solely in the
candidate's offer letter. This role is also eligible to earn
performance based incentive compensation, which may include cash
bonus(es) and/or long term incentives (LTI). Incentives could be
discretionary or non discretionary depending on the plan.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.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
RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com 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).
Keywords: Capital One, West Babylon , Compliance Transaction Tester - Retail Bank, Hospitality & Tourism , East Norwich, New York
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