Compliance Tester II
Core
Execute complex risk-based compliance reviews to independently validate business line adherence to applicable laws and regulations.
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
client delivery
Required skills
Regulatory compliance testing, Data analysis, SQL, Python, Process validation, Risk assessment, Documentation management
Preferred skills
Financial services consumer compliance monitoring, RPA/OCR/NLP testing solutions, 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 existing assessment plans, Support Compliance audit and exams
Seniority
Senior Associate, hands-on IC