This listing was posted on Professional Diversity Network.
Compliance Transaction Tester - Retail Bank
Location:
Wilmington, DE
Description:
802 Delaware Avenue (18052), United States of America, Wilmington, DelawareCompliance Transaction Tester - Retail BankThe Compliance Tester II (Senior Associate) performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Compliance Tester will be responsible for executing defined, moderately complex, risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable consumer laws and regulations including, but not limited to: Regulations CC, D, DD, E, and FCRA.As a Compliance Senior Associate, you will execute Compliance testing based on the line of business, the regulatory risks that business faces, and internal control processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent testing for the lines of business against Capital One's risk management framework.Responsibilities:Guided by team leadership, execute targeted, moderately complex transaction testing for line of business compliance requirements.Manage assigned testing timelines to ensure all tasks and reporting are completed within established timeframesObtain and analyze test data from multiple sources, following documented test plans, testing protocols, and leveraging job aids as neededHelp drive innovative ways to approach testing.Demonstrate an understanding of testing methodology, business processes, control frameworks, and related regulatory and compliance standardsEstablish and maintain strong relationships with Compliance Advisors, the Risk Office and Business AreasEnsure engagement with proper points of contact throughout the testing processSystematically retain documents that substantiate test results with a high level of accuracyReview deliverables executed by peers for accuracy and adherence to proceduresSubmit test results in the system of recordCommunicate results to Advisors, Business Areas, and Compliance Officers, as neededAbility to work cooperatively and effectively with supporting team members to meet departmental goals.Maintain strong time management, organizational and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detailBasic Qualifications:High School Diploma, GED or equivalent certificationAt least 4 years of experience working in the financial services industryAt least 2 years of experience in audit, compliance, risk management, control, or transaction reviewsAt least 2 years of experience with Microsoft Office or Google Suite Preferred Qualifications:Bachelor's Degree3+ years of financial services monitoring, auditing, risk management, or compliance experienceCertified Regulatory Compliance Manager (CRCM) accreditationExperience analyzing test scripts using SQL/Python to test full populations for key attributesExperience engaging with data analytics teams to help drive innovative testing approachesKnowledge of data analytics, Optical Character Reader, Robotic Process Automation or Artificial IntelligenceBasic understanding of data schemas or cloud data structure to help drive innovative testing approachesAt 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.New York City (Hybrid On-Site): $99,500 - $113,600 for Compliance Tester IICandidates 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 the Capital 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 committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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 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-XXXX or via email at XXXX@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 XXXX@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).PDN-9a7d379d-a2d4-4607-81a4-ae6c62e014ed
Visit Our Partner Website
This listing was posted on another website. Click here to open: Go to Professional Diversity Network
Important Safety Tips
- Always meet the employer in person.
- Avoid sharing sensitive personal and financial information.
- Avoid employment offers that require a deposit or investment.
To learn more, visit the Safety Center or click here to report this listing.
More About this Listing: Compliance Transaction Tester - Retail Bank
Compliance Transaction Tester - Retail Bank is a Retail Retail Worker Job at Capital One located in Wilmington DE. Find other listings like Compliance Transaction Tester - Retail Bank by searching Oodle for Retail Retail Worker Jobs.
Compliance Transaction Tester - Retail Bank is a Retail Retail Worker Job at Capital One located in Wilmington DE. Find other listings like Compliance Transaction Tester - Retail Bank by searching Oodle for Retail Retail Worker Jobs.