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Form of workThe Corporate Compliance team is seeking an experienced Senior Associate who will be responsible for executing risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating business line adherence to complaints handling procedures and requirements of the Enterprise Complaints Standard. A successful candidate will enjoy developing a deep understanding of complaints requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with business partners, compliance advisors, risk managers and independently navigate through complex and ambiguous test determinations. The perfect candidate will have a passion for risk and compliance, testing, project work, quality assurance and has the ability to effectively challenge the businesses. In addition, this role requires great attention to detail and excellent verbal and written communication skills.
Responsibilities will include (but may not be limited to):
Under the leadership of a team leader, executing targeted transaction testing for consumer compliance requirements
Managing testing schedules to ensure all tasks and reporting are completed within established timeframes
Analyzing data from multiple sources and systematically documenting the work and results
Develop new ways to test large populations of data
Reviewing transaction tests executed by peers for accuracy and adherence to test procedures
Establishing and maintaining strong relationships with Compliance Advisors and Business Areas as needed
Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives
Assisting in communicating results to Compliance Officers, as needed
Basic Qualifications:
High School Diploma, GED or equivalent certification
At least 2 years of experience in compliance, testing, or quality assurance
Preferred Qualifications:
Bachelor's Degree
3+ years of financial services consumer compliance monitoring experience
3+ years of consumer compliance auditing experience
3+ years of quality assurance experience
Experience creating presentations
Working knowledge of basic statistics
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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 committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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.com
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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).
