Principal Corporate Compliance Tester – Enterprise Services ICTT

  • Company: Capital One
  • Location: Richmond, Virginia
  • Posted: December 17, 2016
  • Reference ID: R16079
West Creek 2 (12072), United States of America, Richmond, Virginia

Principal Corporate Compliance Tester – Enterprise Services ICTT

Title:  Principal Corporate Compliance Tester – Enterprise Services ICTT

Level:  Principal Associate

As a Principal Corporate Compliance Tester on the Enterprise Services Independent Compliance Transaction Testing (ICTT) team, you will perform a key second line of defense role to help ensure corporate initiatives and departmental processes within the Brand, Corporate Development, Digital, Supplier Management, Technology and Workplace Solutions Lines of Business comply with applicable laws and regulations.  The Compliance Tester will be responsible for executing risk-based compliance transaction and control design testing.


  • Execute targeted, moderately complex transaction and control design 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 Compliance database software
  • Systematically retain documents that substantiate test results
  • Establish and maintain strong relationships with Compliance Advisors, Business Areas, Data Analysts and other partners
  • Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives
  • Leverage strong problem-solving, conceptual thinking and communication skills

The ES ICTT team is looking for an individual who excels in a team environment, has strong communication skills, integrative thinking skills, and the ability to navigate through continually changing regulatory requirements.

Basic Qualifications:

  • At least 2 years of experience working within accounting, or at least 2 years in audit, or at least 2 years in analytics
  • At least 1 year of experience with scripting, querying and data analysis
  • High School Diploma, GED or Equivalent certification, or Military experience

Preferred Qualifications:

  • 4 years of financial services consumer compliance data analysis, testing, or auditing experience
  • Proficient knowledge of consumer regulatory requirements
  • CRCM
  • Bachelor’s Degree

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


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