Summary:
This role is responsible for executing second-line control testing to independently validate adherence to applicable laws, regulations, and internal Policies, Standards, and Procedures (PSPs).
General Responsibilities:
Conduct second-line control challenges to assess design and operating effectiveness.
Create and manage test schedules to ensure timely completion of all tasks and reporting.
Analyze data from multiple sources and meticulously document work and results.
Cultivate and maintain strong relationships with Compliance Advisors and other business partners.
Demonstrate comprehensive knowledge of Capital One’s Compliance Management Program (CMP).
Draft and review final reports for completed control reviews.
Responsible for communicating test results to lead advisors and Compliance Officers as needed.
Subject matter expert (SME) for control testing responsible for managing program changes
Present topics and test results to the broader testing community in Compliance
Lead documenting and responding to audit requests
Other job-related duties that may be assigned from time to time
Basic Qualifications:
Educational Background: Bachelor’s Degree or equivalent work experience
Professional Experience:
At least 3 years of experience in consumer compliance testing, compliance monitoring, quality assurance, control reviews, and/or audit experience
Skills Required:
Understanding of the risk and compliance management framework and techniques
Strong research and analytical skills to gather data/information for risk and controls analysis
Clear written and verbal communication skills and collaborative abilities
Sound judgment in recommending and implementing resolutions
Strong critical thinking, and problem-solving skills
Ability to work independently and flexible to change in a fast-paced environment that requires the balancing of competing priorities
Preferred Qualifications:
Certified Regulatory Compliance Manager (CRCM) or other compliance related accreditations
Experience creating and delivering effective presentations
Advanced Snowflake SQL knowledge
No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
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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).