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Job Details

Principal Corporate Compliance Tester

Company name
Capital One Financial Corporation

Location
Richmond, VA

Date Last Verified
May 17,2018

Posted on
Apr 17,2018

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West Creek 3 (12073), United States of America, Richmond, VirginiaAt Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.                                               Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.Principal Corporate Compliance TesterTitle:  Principal Corporate Compliance TesterLevel:  Principal AssociateCapital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients.  Ranked #127 on the Fortune 500, Capital One is one of the nation’s top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.The Compliance Tester III (Principal Associate) performs a key second line of defense role, to help ensure corporate initiatives and departmental processes across the US Card portfolio The Compliance Tester III will be responsible for executing well-defined, complex risk-based compliance transaction testing and quality reviews  supported by a team leader, for the purpose of independently validating business line adherence to applicable laws and regulations.The Compliance Tester III will support lines of business by:-Testing adherence to business regulatory requirements;-Testing and investigating risk based compliance transactions;-Managing compliance to appropriate testing and document retention guidelines.Additional responsibilities will include (but may not be limited to):-Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and ICTT methodology and procedures-Suggest changes to testing or perform high risk testing as needed-Develop test plans, continually validate and improve test design-Manage to testing schedules to ensure all tasks and reporting are completed within established timeframes-Obtain and analyze test data from multiple sources, following documented test plans, testing protocols and leveraging job aids as needed-Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources-Systematically retain documents that substantiate test results-Establish and maintain strong relationships with Compliance Advisors and Business Areas-Assist in communicating results to Business Areas-Track testing results for ongoing analysis and process improvement-Assist management in the development of the testing schedulesBasic Qualifications:-High School Diploma or military experience-At least 2 years of audit, compliance or risk management experience or at least 2 years working in financial services.-Experience in Microsoft OfficePreferred Qualifications: -Bachelors Degree in Auditing or Accounting or Finance or Economics or Information Systems or Business Administration-At least 4 years of compliance monitoring or 4 years of auditing experience-At least 4 years of experience working in financial services, specifically within accounting, or 4 years of experience working in financial services, specifically within audit, or 4 years of experience working in financial services, specifically within complianceAt this time, Capital One will not sponsor a new applicant for employment authorization for this position. ,educationRequirements:West Creek 3 (12073), United States of America, Richmond, VirginiaAt Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.                                               Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.Principal Corporate Compliance TesterTitle:  Principal Corporate Compliance TesterLevel:  Principal AssociateCapital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients.  Ranked #127 on the Fortune 500, Capital One is one of the nation’s top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.  The Compliance Tester III (Principal Associate) performs a key second line of defense role, to help ensure corporate initiatives and departmental processes across the US Card portfolio The Compliance Tester III will be responsible for executing well-defined, complex risk-based compliance transaction testing and quality reviews  supported by a team leader, for the purpose of independently validating business line adherence to applicable laws and regulations.The Compliance Tester III will support lines of business by:-Testing adherence to business regulatory requirements;-Testing and investigating risk based compliance transactions;-Managing compliance to appropriate testing and document retention guidelines.Additional responsibilities will include (but may not be limited to):-Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and ICTT methodology and procedures-Suggest changes to testing or perform high risk testing as needed-Develop test plans, continually validate and improve test design-Manage to testing schedules to ensure all tasks and reporting are completed within established timeframes-Obtain and analyze test data from multiple sources, following documented test plans, testing protocols and leveraging job aids as needed-Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources-Systematically retain documents that substantiate test results-Establish and maintain strong relationships with Compliance Advisors and Business Areas-Assist in communicating results to Business Areas-Track testing results for ongoing analysis and process improvement-Assist management in the development of the testing schedulesBasic Qualifications:-High School Diploma or military experience-At least 2 years of audit, compliance or risk management experience or at least 2 years working in financial services.-Experience in Microsoft Office Preferred Qualifications: -Bachelors Degree in Auditing or Accounting or Finance or Economics or Information Systems or Business Administration-At least 4 years of compliance monitoring or 4 years of auditing experience-At least 4 years of experience working in financial services, specifically within accounting, or 4 years of experience working in financial services, specifically within audit, or 4 years of experience working in financial services, specifically within complianceAt this time, Capital One will not sponsor a new applicant for employment authorization for this position. No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. 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.For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.comCapital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.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).,employmentType:CV,identifier:R46420,industry:Full time,title:Principal Corporate Compliance Tester,url:https://www.capitalonecareers.com/job/richmond/principal-corporate-compliance-tester/1732/7845815,hiringOrganization:{@type:Organization,name:Capital One - US}}

Company info

Capital One Financial Corporation
Website : http://www.capitalone.com

Company Profile
Capital One isn't just concerned with what's in your wallet; it's interested in your bank account as well. The company is best known as one of the largest issuers of Visa and MasterCard credit cards in the US, but it also boasts a banking network of approximately 1,000 branches, mainly in New York, New Jersey, Louisiana, Texas, and the Washington, DC area. Subsidiary ING Direct offers online and direct banking without branches. Capital One, which serves more than 50 million customers in the US, Canada, and the UK, also has units that offer auto financing, write home loans, sell insurance, and manage assets for institutional and high-net-worth clients.

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