Senior Associate, Compliance

Overview

Senior Associate, Compliance

The Corporate Compliance team is seeking a highly motivated and experienced Senior Associate Tester. This role is responsible for executing second-line transaction and control testing, independently validating the business’ adherence to applicable laws, regulations, and internal policies, standards, and procedures (PSPs). A successful candidate will possess a deep understanding of compliance requirements, demonstrate strong analytical skills, and use critical thinking and judgment to draw sound conclusions from monitoring and testing activities. The position requires a high degree of autonomy, excellent verbal and written communication skills, and the ability to foster cross-functional partnerships with both business and compliance advisors.

Responsibilities will include (but may not be limited to):

• Design and execute targeted transaction testing for consumer compliance requirements.

• Conduct second-line control challenges to assess design and operating effectiveness.

• Manage test schedules to ensure timely completion of all tasks and reporting.

• Analyze data from multiple sources and meticulously document work and results.

• Collaborate with data analysts to innovate new testing methodologies for large datasets.

• Perform peer reviews of transaction tests for accuracy and adherence to established procedures.

• Cultivate and maintain strong relationships with Compliance Advisors and other business partners.

• Demonstrate comprehensive knowledge of Capital One’s Compliance Management Program (CMP).

• Draft final reports for transaction testing and control reviews.

• Assist in communicating test results to lead advisors and Compliance Officers as needed.

Basic Qualifications:

• High School Diploma, GED, or equivalent certification 

• At least 2 years of experience in consumer compliance testing, compliance monitoring, quality assurance, control reviews or audit experience

Preferred Qualifications:

• Bachelor’s degree

• 3+ years of financial services consumer compliance control testing, compliance monitoring, quality assurance, control review, or audit experience

• Certified Regulatory Compliance Manager (CRCM) or other compliance related accreditations

• Experience creating and delivering effective presentations

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Plano, TX: $86,000 - $98,200 for Compliance Tester II

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).