Senior Associate, Compliance Tester
At Capital One, we are committed to creating a better way for our customers to manage their money and achieve their financial goals. As a Senior Associate, Compliance Tester, you will play a crucial role in ensuring we maintain our high standards of compliance and ethical conduct. This is an exciting opportunity for a detail-oriented and analytical individual who is passionate about upholding regulatory requirements and promoting a culture of compliance. If you are ready to make a meaningful impact on our company and customers, keep reading to learn more about this role!
- Conduct compliance testing and monitoring activities to ensure adherence to regulatory requirements and company policies and procedures.
- Develop and maintain a thorough understanding of applicable laws and regulations.
- Collaborate with cross-functional teams to identify potential compliance risks and develop mitigation strategies.
- Perform reviews and testing of processes, controls, and documentation to evaluate compliance effectiveness.
- Analyze and interpret data to identify trends and potential areas of non-compliance.
- Prepare and present reports and findings to management and regulatory agencies.
- Develop and maintain compliance testing plans and schedules.
- Stay up-to-date on changes to regulations and industry best practices.
- Assist in the development and implementation of compliance training programs.
- Serve as a subject matter expert and provide guidance and support to other teams regarding compliance matters.
- Participate in internal and external audits and examinations.
- Maintain accurate and organized records of compliance testing activities and findings.
- Propose and implement improvements to compliance processes and procedures.
- Communicate effectively with all levels of the organization and external stakeholders.
- Uphold a culture of compliance and ethical conduct within the company.
Bachelor's Degree In Accounting, Finance, Or A Related Field.
At Least 3-5 Years Of Experience In Compliance Testing Or Auditing, Preferably In The Financial Services Industry.
Strong Knowledge Of Relevant Laws, Regulations, And Industry Standards, Such As The Bank Secrecy Act, Anti-Money Laundering Regulations, And Consumer Financial Protection Bureau Guidelines.
Excellent Analytical And Problem-Solving Skills, With The Ability To Identify And Communicate Potential Compliance Risks To Senior Management.
Strong Communication And Interpersonal Skills, With The Ability To Work Collaboratively With Cross-Functional Teams And Effectively Communicate Compliance Requirements To Non-Compliance Stakeholders.
Risk Management
Process Improvement
Data Analysis
Report Writing
Compliance testing
Regulatory compliance
Policy Development
Compliance monitoring
Audit planning
Problem
Control Testing
Training And Education
Communication
Leadership
Time management
Interpersonal Skills
Organization
flexibility
Critical thinking
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Senior Associate, Compliance Tester in McLean, VA, USA is $85,000-$110,000 per year. This may vary depending on factors such as experience, education, and specific job responsibilities.
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Capital One Financial Corporation is an American bank holding company specializing in credit cards, auto loans, banking, and savings accounts, headquartered in McLean, Virginia. Capital One is ranked 11th on the list of largest banks in the United States by assets.
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