Principal Compliance Tester, US Card Monitoring

  • Company: Capital One
  • Location: Richmond, Virginia
  • Posted: July 09, 2016
  • Reference ID: R6271
West Creek 3 (12073), United States of America, Richmond, Virginia

Principal Compliance Tester, US Card Monitoring

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

-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

-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

-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

-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.

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