Senior Associate, Compliance

Senior Associate, Compliance

The Corporate Compliance team is seeking a highly motivated and experienced Senior Associate Tester. This role is responsible for executing second-line transaction and control testing, independently validating the business’ adherence to applicable laws, regulations, and internal policies, standards, and procedures (PSPs). A successful candidate will possess a deep understanding of compliance requirements, demonstrate strong analytical skills, and use critical thinking and judgment to draw sound conclusions from monitoring and testing activities. The position requires a high degree of autonomy, excellent verbal and written communication skills, and the ability to foster cross-functional partnerships with both business and compliance advisors.

  

Responsibilities will include (but may not be limited to):

• Design and execute targeted transaction testing for consumer compliance requirements.

• Conduct second-line control challenges to assess design and operating effectiveness.

• Manage test schedules to ensure timely completion of all tasks and reporting.

• Analyze data from multiple sources and meticulously document work and results.

• Collaborate with data analysts to innovate new testing methodologies for large datasets.

• Perform peer reviews of transaction tests for accuracy and adherence to established procedures.

• Cultivate and maintain strong relationships with Compliance Advisors and other business partners.

• Demonstrate comprehensive knowledge of Capital One’s Compliance Management Program (CMP).

• Draft final reports for transaction testing and control reviews.

• Assist in communicating test results to lead advisors and Compliance Officers as needed.

Basic Qualifications:

• High School Diploma, GED, or equivalent certification 

• At least 2 years of experience in consumer compliance testing, compliance monitoring, quality assurance, control reviews or audit experience

Preferred Qualifications:

• Bachelor’s degree

• 3+ years of financial services consumer compliance control testing, compliance monitoring, quality assurance, control review, or audit experience

• Certified Regulatory Compliance Manager (CRCM) or other compliance related accreditations

• Experience creating and delivering effective presentations

At 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.

Plano, TX: $86,000 - $98,200 for Compliance Tester II

 

 

 

 

 

 

 

 

 

 

Candidates 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 (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 co