Principal Compliance Tester III - Corporate Functions
The Compliance Tester III (Principal Associate) performs a key second line of defense role, ensuring regulatory requirements are met across Capital One Enterprise's applicable lines of business. The role involves executing complex risk-based compliance transaction testing and control testing under team leadership to validate adherence to laws and regulations related to human resources, legal, and risk management, including but not limited to Executive Order, Diversity and Inclusion (D&I), Family and Medical Leave Act (FMLA), and Overtime Rules.
The Compliance Tester III will support lines of business by:
Testing adherence to regulatory requirements;
Managing compliance with document retention guidelines through appropriate testing.
Responsibilities will include, but are not limited to:
Executing targeted, complex transaction testing under team leader guidance, aligning with team and Independent Compliance Testing Program methodologies.
Suggesting testing modifications and performing high-risk testing as needed.
Developing and validating test plans to improve test design.
Managing testing schedules to meet deadlines.
Analyzing test data from multiple sources and documenting work and results according to protocols.
Collaborating with business and IT to enhance data sourcing.
Reviewing peer test and control reviews for accuracy.
Communicating results to stakeholders.
Submitting test results in Governance Risk Compliance (GRC) system.
Retaining documentation supporting test results.
Participating in Annual Testing Calendar Planning.
Building relationships with Compliance Advisors and Business Areas.
Supporting audits and exams as needed.
Basic Qualifications:
High School Diploma, GED, or equivalent.
At least 3 years of compliance testing, monitoring, quality assurance, or audit experience.
Preferred Qualifications:
Bachelor's Degree in relevant fields (e.g., Auditing, Accounting, Finance, Economics, Information Systems, Business Administration).
4+ years of compliance monitoring or auditing experience.
Experience in financial services, especially in accounting, audit, or compliance.
Note: Capital One will not sponsor employment authorization for this position at this time.
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