Compliance Tester II

24 hours ago


Plano, Texas, United States Capital One Full time
Job Summary

The Compliance Tester II (Senior Associate) plays a critical role in ensuring regulatory requirements are met across all applicable lines of business. This position executes risk-based compliance transaction testing and control testing under the leadership of a team leader, independently determining compliance with Commercial Bank and Corporate Functions laws and regulations.

Key Responsibilities
  • Execute targeted transactions or control testing for applicable compliance requirements.
  • Manage testing schedules to ensure all tasks and reporting are completed within established timeframes.
  • Analyze data from multiple sources and systematically document the work and results.
  • Review transaction tests executed by peers for accuracy and adherence to test procedures.
  • Establish and maintain strong relationships with Compliance Advisors and Lines of Business, as needed.
  • Assist in communicating results to Compliance Officers and Lines of Business, as needed.
Basic Qualifications
  • High School Diploma, GED or equivalent certification.
  • At least 2 years of experience testing or monitoring in a compliance department, compliance advisory, or audit.
Preferred Qualifications
  • Bachelor's degree in Audit, Accounting, Finance, Economics, Information Systems or Business Administration.
  • 3+ years of experience testing or compliance monitoring.
  • 3+ years of experience as a compliance advisor in a compliance department.
  • Proficient in Google Suite (Sheets) or Microsoft Office (Excel).
  • Proficient in Jira.
  • Strong problem-solving and conceptual thinking skills.
  • Strong communication skills.
Capital One is an Equal Opportunity Employer

Capital One will not sponsor a new applicant for employment authorization for this position.



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