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Capital One - Huntingtn Sta, NY

posted 18 days ago

Full-time - Mid Level
Huntingtn Sta, NY
5,001-10,000 employees
Credit Intermediation and Related Activities

About the position

The Compliance Tester II (Senior Associate) at Capital One plays a crucial role in ensuring that regulatory requirements are met across various lines of business, particularly within the Commercial Banking Testing Teams. This position involves executing risk-based compliance transaction testing and control testing to independently assess compliance with relevant laws and regulations. The role requires strong analytical skills and the ability to manage testing schedules while maintaining effective communication with Compliance Advisors and Lines of Business.

Responsibilities

  • Execute targeted transactions or control testing for applicable compliance requirements under the leadership of a team leader.
  • Manage testing schedules to ensure all tasks and reporting are completed within established timeframes.
  • Analyze data from multiple sources and systematically document the work and results.
  • Review transaction tests executed by peers for accuracy and adherence to test procedures.
  • Establish and maintain strong relationships with Compliance Advisors and Lines of Business as needed.
  • Assist in communicating results to Compliance Officers and Lines of Business as needed.

Requirements

  • High School Diploma, GED or equivalent certification.
  • At least 2 years of experience testing or monitoring in a compliance department, compliance advisory, or audit.

Nice-to-haves

  • Bachelor's degree in Audit, Accounting, Finance, Economics, Information Systems or Business Administration.
  • 3+ years of experience testing or compliance monitoring.
  • 3+ years of experience as a compliance advisor in a compliance department.
  • Proficient in Google Suite (Sheets) or Microsoft Office (Excel).
  • Proficient in Jira.
  • Strong problem-solving and conceptual thinking skills.
  • Strong communication skills.

Benefits

  • Comprehensive health benefits
  • Financial benefits including performance-based incentives
  • Inclusive work environment
  • Support for total well-being
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