Principal Corporate Compliance Tester - Institutional Broker Dealer
Location:
New Orleans , Louisiana
Posted:
February 08, 2017
Reference:
RT794424
Place St Charles (37701), United States of America, New Orleans, Louisiana

Principal Corporate Compliance Tester - Institutional Broker Dealer

Title: Principal Corporate Compliance Tester - Institutional Broker Dealer.Level: Principal Associate..Job Description:.Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #127 on the Fortune 500, Capital One is one of the nation's top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work...Summary: The Principal Corporate Compliance Tester for the Commercial line of business performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with FINRA, SEC, and OCC applicable laws and regulations. The Principal 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 laws and regulations. The Principal 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...Responsibilities:.-Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and ICTT 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.. Basic Qualifications:.-High School Diploma, GED or equivalent certification, or Military experience.-At least 2 years of compliance experience or at least 2 years of testing experience for an institutional broker dealer within a financial institution .-At least 2 years of experience working in financial services specifically within accounting or at least 2 years of experience working in financial services specifically within audit...Preferred Qualifications:.-5 years of broker dealer compliance monitoring experience, or 5 years of broker dealer compliance testing experience, or 5 years of broker dealer compliance audit experience, specifically within financial services.-5 years of commercial compliance experience.-CRCM certification, or CAMS certification, or CIPP certification.-FINRA Series 7 certification. . ....At this time, Capital One will not sponsor a new applicant for employment authorization for this position...


A little about us:
Headquartered in McLean, Virginia, Capital One® offers a broad array of financial products and services to consumers.

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