Senior Corporate Compliance Tester - Retail & Direct Bank

  • Company: Capital One
  • Location: Melville, New York
  • Posted: January 05, 2017
  • Reference ID: R16784
Melville 2 (22068), United States of America, Melville, New York

Senior Corporate Compliance Tester - Retail & Direct Bank

Title:  Senior Corporate Compliance Tester – Retail & Direct Bank

Job Level: Senior Associate


Summary: The Compliance Tester II performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable Retail and Direct Bank laws and regulations including but not limited to Regulations C, D, DD, E, FCRA and FDIC laws and regulations. The Compliance Tester II 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 II 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 the system of record
  • Systematically retain documents that substantiate test results
  • Establish and maintain strong relationships with Compliance Advisors, the Risk Office and Business Areas


- High School Diploma, GED or Equivalent certification, or Military Experience

- At least 1 year of experience working in financial services, specifically within Compliance, Audit, or an analytical or testing discipline

- Proficiency with MS Office Suite

- Proficiency with Excel


- 2 years of financial services consumer compliance monitoring experience, or 2 years of auditing experience, or 2 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.

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