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Compliance Tester

Company: Capital One
Location: Wilmington
Posted on: October 12, 2019

Job Description:

West Creek 3 (12073), United States of America, Richmond, VirginiaAt Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.Compliance TesterSummary: The Compliance Tester performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations including but not limited to Regulations CC, D, DD, E, O and FCRA. The Compliance Tester II 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 laws and regulations. The Compliance Tester II will support lines of business by:

  • Testing adherence to business regulatory requirements;
  • Testing risk-based compliance transactionsResponsibilities:
    • Guided by team leadership, execute targeted, moderately complex transaction testing for line of business compliance requirements in alignment with team and ICTT methodology and procedures
    • Adhere to testing schedules 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
    • Submit test results in the system of record
    • Systematically retain documents that substantiate test results
    • Establish and maintain strong relationships with Compliance Advisors, the Risk Office and Business AreasBasic Qualifications:
      • High School Diploma, GED or Equivalent Certification
      • At least 1 year of experience working in financial services, specifically within accounting or auditPreferred Qualifications:
        • Bachelor's Degree
        • At least 2 years of financial services consumer compliance monitoring experience, or 2 years of auditing experience, or 2 years of compliance testing experience, specifically within financial services
        • Proficiency with MS Office Suite
        • Certified Regulatory Compliance Manager (CRCM) accreditation
        • Certified Information Privacy Professional (CIPP) accreditationAt this time, Capital One will not sponsor a new applicant for employment authorization for this position.

Keywords: Capital One, Wilmington , Compliance Tester, IT / Software / Systems , Wilmington, Delaware

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