Principal Corporate Compliance Tester - Retail and Direct Bank

  • Company: Capital One
  • Location: Melville, New York
  • Posted: February 02, 2017
  • Reference ID: R18805
Melville 2 (22068), United States of America, Melville, New York

Principal Corporate Compliance Tester - Retail and Direct Bank

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 complex risk-based compliance transaction testing for the purpose of independently validating business line adherence to applicable consumer laws and regulations including but not limited to Regulations C, D, DD, E, FCRA and FDIC. The Compliance Tester III will support lines of business by:

  • Testing adherence to business regulatory requirements;
  • Testing risk based compliance transactions;
  • Demonstrating strong problem-solving and conceptual skills
  • Demonstrating strong written and verbal communication skills


  • Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and Independent Compliance Transaction Testing (ICTT) methodology and procedures
  • Suggest changes to testing or perform high risk testing as needed
  • Develop test plans, continually validate and improve test design
  • Obtain and analyze test data from multiple sources, following documented test plans, testing protocols and leveraging job aids as needed
  • Manage to testing schedules to ensure all tasks and reporting are completed within established timeframes
  • 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
  • Submitting test results in the Compliance database software and systematically retaining 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


- Bachelor’s Degree or Military Experience

- At least 2 years of experience working in financial services, or at least 2 years of experience working in accounting, or at least 2 years of experience working in audit

- Proficiency with MS Office Suite


- 2 years of experience working in an analytical discipline

- 3 years of financial services consumer compliance monitoring experience, or 3 years of auditing experience, or 3 years of compliance testing experience, specifically within financial services

- Certified Regulatory Compliance Manager (CRCM) accreditation

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

Share this Job