• Principal Corporate Compliance Tester Jobs in United States Of America - 25671935

  • CAPITAL ONE FINANCIAL SERVICES CLIENT
  • United States Of America, Usa
  • Save Job
  • 4 - 7 Years
  • Posted : above 1 month

Job Description:

At Capital One, were building a leading information-based technology company Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking We measure our efforts by the success our customers enjoy and the advocacy they exhibit We are succeeding because they are succeeding

Guided by our shared values, we thrive in an environment where collaboration and openness are valued We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results We elevate each other and obsess about doing the right thing Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams Together, we are on a quest to change banking for good

Principal Corporate Compliance Tester

Title Principal Corporate Compliance Tester

Level Principal Associate

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients Ranked #127 on the Fortune 500, Capital One is one of the nations top 10 banks and has one of the most widely recognized brands in America We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work

The Compliance Tester III (Principal Associate) performs a key second line of defense role, to help ensure corporate initiatives and departmental processes are followed across all applicable Corporate Function areas, specifically within the Corporate Functions Compliance Testing team The Compliance Tester III will be responsible for executing well-defined, complex risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating Corporate Function areas adherence to applicable laws and regulations The Compliance Tester III will support Corporate Function areas by

-Testing adherence to regulatory requirements;

-Testing and investigating risk based compliance transactions;

-Managing compliance to appropriate testing and document retention guidelines

Additional responsibilities will include (but may not be limited to)

-Guided by team leadership, execute targeted, complex transaction testing for Corporate Functions compliance requirements in alignment with team and ICTT methodology and procedures

-Suggest changes to testing or perform high risk testing as needed

-Develop test plans, continually validate and improve test design

-Manage to testing schedules to ensure all tasks and reporting are completed within established timeframes

-Obtain and analyze test data from multiple sources, following documented test plans, testing protocols and leveraging job aids as needed

-Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources

-Systematically retain documents that substantiate test results

-Establish and maintain strong relationships with Compliance Advisors and Corporate Function areas

-Assisting in communicating results to Corporate Function areas

-Track inspection results for ongoing analysis and trend reporting
-Assist management in the development of the inspection schedules and trend reporting

Basic Qualifications
-High School Diploma, GED or equivalent certification, or military experience
-At least 2 years of experience working in financial services, specifically within accounting, or at least 2 years of experience working in financial services, specifically within audit, or at least 2 years of experience working in financial services, specifically within compliance

Preferred Qualifications
-Bachelors Degree in Auditing, Accounting, Finance, Economics, Information Systems or Business Administration

-4 years of compliance monitoring or 4 years of auditing experience

-4 years of experience working in financial services, specifically within accounting, or 4 years of experience working in financial services, specifically within audit, or 4 years of experience working in financial services, specifically within compliance

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

No agencies please Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law 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 Citys Fair Chance Act; Philadelphias 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 RecruitingAccommodationcapitalonecom 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 Ones recruiting process, please send an email to Careerscapitalonecom

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)

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Profile Summary:

Employment Type : Full Time
Eligibility : Any Graduate
Industry : Others - other Industry
Functional Area : IT Software : Software Products & Services
Role : Quality Assurance/Testing
Salary : As per Industry Standards
Deadline : 15th Jul 2020

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