Compliance Tester II
Core
Execute complex risk-based compliance reviews to independently validate business line adherence to laws and regulations, focusing on testing adherence to regulatory requirements and data/automation compliance.
Role type
Senior Associate Compliance Tester (Second Line of Defense)
Builds
Independent monitoring reports and validation of business processes against Capital One's risk management framework
Domain
Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance testing, Data analysis, SQL, Python, Process validation, Risk assessment, Documentation management, Stakeholder communication
Preferred skills
Financial services consumer compliance monitoring, RPA/OCR/NLP testing knowledge, Data schema understanding, Google G-Suite, Reveal
Responsibilities
Test adherence to business regulatory requirements, Test data and automation for regulatory compliance, Manage compliance testing document retention, Analyze data to improve internal program elements, Validate and improve assessment plans, Support Compliance audit and exams
Seniority
Senior Associate, hands-on IC