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Capital One · 15 hours ago

Principal Associate, Compliance Transaction Tester

Richmond, VA

Full-time

Onsite

Mid, Senior Level

$121K/yr - $138K/yr

4+ years exp

Capital One is seeking an experienced Principal Associate for their US Card Compliance team. The successful candidate will lead risk-based compliance transaction testing to assess adherence to laws and regulations, while developing strong cross-functional relationships and executing complex testing aligned with compliance standards.

Financial Services

Comp. & Benefits

No H1B

Responsibilities

Executing targeted, complex testing for line of business compliance requirements in alignment with team and program methodology

Demonstrating an understanding of business processes, control frameworks, and related regulatory and compliance standards

Managing testing schedules to ensure all tasks and reporting are completed within established timeframes and documented within systems of record

Systematically retaining documents that substantiate test results

Reviewing tests executed by colleagues for accuracy and adherence to test plan and procedures

Developing and executing test plans, continually validating and improving existing design while also identifying new opportunities to execute tests in high risk areas

Requesting and analyzing data; supporting and initiating efforts to improve data sourcing and driving innovation with business partners and IT support teams

Identifying and contributing to the implementation of new technologies and innovative concepts

Communicating results to Compliance Officers, Compliance Advisors, Legal, and Business Area Partners

Demonstrating strong time management, organizational, and prioritization skills; completing multiple concurrent tasks within close deadlines with a high degree of accuracy and detail

Exhibiting strong problem-solving and conceptual thinking skills

Qualification

Compliance testingRisk managementData analysisSQLPythonRobotics Process AutomationOptical Character RecognitionNatural Language ProcessingExcel for AnalystsCloud data structureAttention to detailCommunication skillsProblem-solving skillsTime managementOrganizational skills

Required

High School Diploma, GED or equivalent certification

At least 3 years of experience in compliance testing, risk management, compliance monitoring, quality assurance, control review or audit

At least 2 years of Microsoft Office or Google Suite experience

At least 1 year of experience interacting with senior management or business partners

Ability to work cross-functionally and develop/maintain strong relationships with partner teams

Ability to work autonomously

Great attention to detail

Excellent verbal and written communication skills

Ability to succinctly and clearly communicate complex fact patterns to others