Capital One
Financial Services
ComplianceTesterIII
Neural analysis suggests this role is
optimal for Senior candidates.
“Compliance Tester III at Capital One. Skills: Compliance testing, AML laws, Consumer regulations, Risk management framework. Execute risk-based transaction testing. Develop test plans”
Industry & Context.
Problem-solving; Conceptual thinking
No sponsorship
What They're Looking For.
Must Have
High School Diploma, 2 years of experience in compliance testing, 2 years of experience in compliance monitoring, 2 years of experience in quality assurance, 2 years of experience in audit, 2 years of experience in financial investigation
Nice to Have
Bachelor's degree, 3 years of compliance testing experience, 3 years of auditing experience, Strong working knowledge of US AML laws, Strong working knowledge of Canadian AML laws, Strong working knowledge of Sanctions laws, Strong working knowledge of Fair Lending laws, Strong working knowledge of Privacy laws, Strong working knowledge of vertical testing areas, Deep familiarity with consumer regulations, Deep familiarity with filing requirements, Exceptional problem-solving skills, Exceptional conceptual thinking skills, Exceptional time-management skills, Manage multiple tight deadlines, High attention to detail, Strong communication skills, Strong stakeholder management skills, CAMS certification, CFE certification, CRCM certification, CFCS certification
What You'll Do.
Execute risk-based transaction testing
Improve testing methodologies
Perform high-risk testing
Document work and results
Improve data sourcing
Develop data pipelines
Automate data pipelines
Manage testing schedules
Manage concurrent timelines
Complete tasks within timeframes
Complete documentation within timeframes
Complete reporting within timeframes
Review transaction tests
Ensure accuracy of tests
Ensure quality assurance of tests
Ensure adherence to test procedures
Work cooperatively with team members
Meet departmental goals
Establish collaborative relationships
Maintain collaborative relationships
Engage with points of contact
Communicate test results clearly
Communicate test results effectively
Provide audit support
Provide regulatory examination support
How You'll Work.
Team & Collaboration
Compliance Advisors; Risk Office; Business Areas; Supporting team members; Compliance Officers
Communication Scope
Communicate test results
Process & Methodology
Schedule management, Timeline management, Task management, Documentation management, Reporting management
Full Job Description
Compliance Tester III **The Principal Compliance Tester III performs a key second line of defense role to help ensure corporate initiatives, departmental processes, and applicable lines of business comply with enterprise regulatory requirements. Working under the guidance of a team leader, the Principal Tester III will execute complex, risk-based compliance transaction testing. The primary purpose of this role is to independently validate business line adherence to both Anti-Money Laundering (AML) laws and consumer regulations—including but not limited to the BSA, USA PATRIOT Act, PCMLTFA, and Regulations CC, D, DD, E, and FCRA.** **In this role, you will collaborate with an experienced and diverse group of Compliance professionals to provide independent testing against Capital One’s risk management framework. You will leverage your deep regulatory knowledge to drive testing innovations, improve data sourcing, and ensure business practices safeguard the enterprise.** ****Key Responsibilities**** ## ****Test Execution & Innovation**** * **Execute targeted, complex, risk-based transaction testing for various lines of business in alignment with team methodology and Independent Compliance Transaction Testing (ICTT) procedures.** * **Develop, continually validate, and improve test plan designs; suggest strategic changes to testing methodologies and perform high-risk testing as needed.** * **Drive innovative ways to approach testing by demonstrating a deep understanding of testing frameworks, business processes, control environments, and related regulatory standards.** ## ****Data Analysis & Documentation**** * **Obtain and analyze test data from multiple sources, systemically documenting work and results by leveraging job aids and documented test protocols.** * **Support and initiate efforts to improve data sourcing by partnering with Business and IT areas to develop improved, automated, or more reliable data pipelines.** * **Ensure impeccable record-keeping by systemati
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