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 and validation of business processes against Capital One's risk management framework
Domain
Financial Services / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory compliance testing, control framework analysis, data analysis, SQL, Python, professional skepticism, schedule management
Preferred skills
Financial services consumer compliance monitoring, data analytics, RPA, OCR, NLP, data schema understanding, software script challenge
Technologies
Google G-Suite, Reveal, Robotics Processing Automation, Optical Character Recognition, Natural Language Processing, SQL, Python
Responsibilities
Test adherence to business regulatory requirements, test controls and automation for regulatory compliance, manage compliance document retention, analyze data to improve internal program elements, validate and improve assessment plans, support Compliance audit and exams
Seniority
Mid-level, hands-on IC