Commercial Senior Corporate Compliance Tester

  • Company: Capital One
  • Location: Melville, New York
  • Posted: December 14, 2016
  • Reference ID: R15779
Melville 2 (22068), United States of America, Melville, New York

Commercial Senior Corporate Compliance Tester

Summary: The Commercial Senior Corporate Compliance Tester performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Commercial Senior Corporate Compliance Tester will be responsible for executing complex risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable Flood, HIPPA, HMDA, and TRID laws and regulations along with other commercial laws and regulations. The Commercial Senior Corporate Compliance Tester will support lines of business by:
-Testing adherence to business regulatory requirements;
-Testing risk based compliance transactions;
-Managing compliance to appropriate testing the document retention guidelines.

-Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and ICTT (Independent Compliance Transaction Testing) methodology and procedures
-Suggest changes to testing or perform high risk testing as needed
-Develop test plans, continually validate and improve test design
-Manage 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
-Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources
-Review transaction test executed by peers for accuracy and adherence to test procedures
-Submit test results in PRIME
-Systematically retain documents that substantiate test results
-Establish and maintain strong relationships with Compliance Advisors and Business Areas
-Support ICTT and Compliance audit and exams as needed

Common Fields of Study:
-Business Management

Typical Experience/Skills:
-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

Autonomy and Supervisory Responsibilities:
-Level of Supervision: Managerial guidance, with high autonomy            
-Capabilities: Independently execute testing, analyze data, and document results           
-Typically Reports to: Compliance Testing Manager or Compliance Testing Sr. Manager 
-Management of Others: Peer Review     for accuracy and possible people management

Basic Qualifications:
-High School Diploma, GED or equivalent certification, or Military experience
-At least 1 year of experience working in an Audit or Compliance testing or at least 1 year of experience in an advisory role in financial services
-At least 1 year of experience working with Microsoft Office

Preferred Qualifications:
-Bachelor’s Degree
- at least 3 years’ experience in Banking Systems
-at least 3 years of financial services compliance testing experience, or 3 years of auditing experience, specifically within financial services and commercial and flood regulations.
-Certified Regulatory Compliance Manager (CRCM)

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

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