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Principal Corporate Compliance Tester - US Card Monitoring

Capital One


Location:
McLean, VA
Date:
03/22/2017
Job Code:
capitalone2-R19450
Categories:
  • Financial Services
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Job Details

Company Capital One

Job Title: Principal Corporate Compliance Tester - US Card Monitoring

JobID: capitalone2-R19450

Location: McLean, VA, 22106, USA

Description: McLean 1 (19050), United States of America, McLean, Virginia



Principal Corporate Compliance Tester - US Card Monitoring



Summary:



The Compliance Tester III 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 III 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 III will support lines of business by:



-Testing adherence to business regulatory requirements;

-Testing risk based compliance transactions



Responsibilities:



-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 PRIME



-Systematically retain documents that substantiate test results



-Establish and maintain strong relationships with Compliance Advisors and Business Areas



Highly Desired Characteristics:



-Strong problem-solving and conceptual skills

-Strong written and verbal communication skills

-Strong negotiation and leadership skills

-Willingness to pursue compliance certifications if not already certified

-Flexibility to travel to various Capital One locations if necessary



Basic Qualifications:



-High School Diploma, GED OR equivalent certification OR Military experience



-At least 3 years of experience within financial services focused on consumer compliance monitoring OR at least 3 years of experience in the legal field working with financial laws and regulations OR at least 1 year of experience in audit



-At least 1 year of experience in people management



-Proficient in MS Office Suite



Preferred Qualifications:



-Bachelor’s degree



-4+ years of financial services consumer compliance monitoring experience



At this time, Capital One will not sponsor a new applicant for employment authorization for this position.



At this time, Capital One will not sponsor a new applicant for employment authorization for this position.



At 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.                                               


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