Compliance Tester III

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About the role

Compliance Tester III The Corporate Compliance team is seeking an experienced Principal Associate who will be responsible for executing risk-based compliance control testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable laws, regulations, and guidance. A successful candidate excels at developing a deep understanding of regulatory requirements, conducting end-to-end testing, and drawing conclusions based on critical thinking, judgment, and analysis. The role requires the ability to work cross-functionally with business partners and compliance advisors, the ability to work autonomously, a keen attention to detail, and excellent verbal and written communication skills. The role involves testing Privacy risk across all lines of businesses and testing Enterprise Services.  Responsibilities will include (but may not be limited to): • Guided by team leadership, executing targeted, complex testing for line of business compliance requirements to effectively challenge business controls in accordance with team, program, and enterprise methodologies • Drives innovation by identifying process enhancements and suggesting changes to testing  • Managing testing schedules to ensure all tasks and reporting are completed within established timeframes • Obtaining, analyzing, and validating test data from multiple sources, executing end-to-end testing following documented test plans, and systematically documenting the work and results • Demonstrating the ability to explore and quickly grasp new technologies to progress varied initiatives • Identifying and engaging with proper points of contact throughout the testing process • Reviewing tests executed by peers for accuracy and adherence to test procedures • Establishing and maintaining strong relationships with Compliance Advisors, the Risk Offices, and Business Areas • Autonomously owning and leading conversations with the business, advisory, and Business Risk Office • Drafting the final results reports and presenting to Compliance Officers Basic Qualifications: • Bachelor's degree or Military Experience • At least 3 years experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International or Global Trade, Privacy, or Enterprise Services  Preferred Qualifications: • 4+ years of experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International or Global Trade, Privacy, or Enterprise Services  • Strong working knowledge of international laws and regulations as they relate to US companies operating in different countries, with an emphasis on international privacy laws and regulations • Excellent problem-solving, conceptual thinking and communication skills • Compliance related certifications (Certified Regulatory Compliance Manager (CRCM), Certified Information Privacy Professional (CIPP)) • Working knowledge of Excel and Google Applications (Docs, Sheets, Slides, etc) At this time, Capital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position (e.g. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-3, and O-1, or any other forms of work authorization that require immigration support from an employer). 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. McLean, VA: $120,800 - $137,900 for Compli

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