West Creek 3 (12073), United States of America, Richmond, VirginiaCompliance Tester IIILevel: Principal AssociateThe Corporate Compliance team is seeking an experienced Principal Associate who will be responsible for executing risk-based compliance transaction and control 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 regulatory requirements, conducting testing, and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with 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.
Responsibilities will include (but may not be limited to):Guided by team leadership, executing targeted, complex testing for line of business compliance requirements in alignment with team and program methodology.Suggesting changes to testing and performing high risk testing as neededManaging testing schedules to ensure all tasks and reporting are completed within established timeframes.Obtaining and analyzing test data from multiple sources, following documented test plans, and systematically documenting the work and results.Supporting and initiating efforts to improve data sourcing and partnering with business and IT areas to develop improved data sourcesDeveloping new ways to test large populations of dataDemonstrating the ability to explore and quickly grasp new technologies to progress varied tests executed by peers for accuracy and adherence to test procedures.Systematically retaining documents that substantiate test resultsEstablishing and maintaining strong relationships with Compliance Advisors and Business AreasAssisting in communicating results to Compliance Officers, Compliance Advisors and Business Area PartnersBasic Qualifications:Bachelor's degree or Military ExperienceAt least 2 years of experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International/Global Trade, Privacy, or Enterprise Services Preferred Qualifications:3+ years of experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International/Global Trade, Privacy, or Enterprise Services Strong working knowledge of international laws and regulations as they relate to US companies operating in different countries, with an emphasis on international privacy laws and regulationsStrong problem-solving and conceptual thinking skillsStrong communication skillsCompliance related certifications (Certified Regulatory Compliance Manager(CRCM), Certified Information Privacy Professional(CIPP))Working knowledge of Excel
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.
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