Senior Associate, Compliance
Capital One
Senior Associate, Compliance
Job Description
Overview
The Corporate Compliance team is seeking an experienced Senior Associate who will be responsible for executing risk-based regulatory testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable laws, regulations, and guidance. A successful candidate enjoys developing a deep understanding of requirements, conducting regulatory testing, and drawing conclusions based on critical thinking, judgment and analysis. The role requires the ability to work cross-functionally with business partners and compliance advisors and the ability to work autonomously. 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):Execute targeted, moderately complex regulatory testing for line of business compliance requirements
Manage to testing schedules to ensure all tasks and reporting are completed within established timeframes
Demonstrate an understanding of regulatory testing methodology, business processes, control frameworks, and related regulatory and compliance standards
Obtain and analyze data from multiple sources, support and initiate efforts to improve data sourcing, and help drive innovative ways to approach regulatory testing
Explore and quickly grasp new technologies and analysis tools
Assist with determining test design and scope and identifying high risk areas to target
Establish and maintain strong relationships with Business Areas and Compliance Advisors
Assist in communicating results to Business Areas, Compliance Advisors, and Compliance Officers
Maintain strong time management, organizational, and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
Succinctly and clearly communicate complex fact patterns to others
Demonstrate strong problem-solving and conceptual skills
Demonstrate strong written and verbal communication skills
Exercise professional skepticism and judgment
Bachelor's Degree or Military Experience
At least 2 years of experience in compliance testing, risk management, compliance monitoring, control or transaction reviews, privacy or audit
At least 2 years of experience using Microsoft Office or Google Suite
At least 1 year of data analysis experience
At least 1 year of experience supporting, partnering and interacting with internal business clients
3+ years of financial services consumer compliance monitoring experience
Certified Regulatory Compliance Manager (CRCM) accreditation
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.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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).
Locations
- Richmond, Virginia, United States
- McLean, Virginia Richmond, VirginiaRichmond
Salary
50,000 - 85,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- Regulatory testingintermediate
- Data analysisintermediate
- Risk managementintermediate
- Compliance monitoringintermediate
- Problem-solvingintermediate
- Cross-functional collaborationintermediate
- Time managementintermediate
- Written and verbal communicationintermediate
Required Qualifications
- Bachelor's Degree or Military Experience (experience)
- At least 2 years of experience in compliance testing, risk management, compliance monitoring, control or transaction reviews, privacy or audit (experience)
- At least 2 years of experience using Microsoft Office or Google Suite (experience)
- At least 1 year of data analysis experience (experience)
- At least 1 year of experience supporting, partnering and interacting with internal business clients (experience)
- Preferred: 3+ years of financial services consumer compliance monitoring experience (experience)
- Preferred: Certified Regulatory Compliance Manager (CRCM) accreditation (experience)
Responsibilities
- Execute targeted, moderately complex regulatory testing
- Manage testing schedules and ensure timely completion
- Obtain and analyze data from multiple sources
- Assist with test design, scope and identifying high risk areas
- Establish and maintain relationships with Business Areas and Compliance Advisors
- Communicate testing results to stakeholders
Benefits
- general: Comprehensive, competitive, and inclusive set of health, financial and other benefits
Answer 10 quick questions to check your fit for Senior Associate, Compliance @ Capital One.
Related Books and Jobs
Senior Associate, Compliance
Capital One
Senior Associate, Compliance
Job Description
Overview
The Corporate Compliance team is seeking an experienced Senior Associate who will be responsible for executing risk-based regulatory testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable laws, regulations, and guidance. A successful candidate enjoys developing a deep understanding of requirements, conducting regulatory testing, and drawing conclusions based on critical thinking, judgment and analysis. The role requires the ability to work cross-functionally with business partners and compliance advisors and the ability to work autonomously. 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):Execute targeted, moderately complex regulatory testing for line of business compliance requirements
Manage to testing schedules to ensure all tasks and reporting are completed within established timeframes
Demonstrate an understanding of regulatory testing methodology, business processes, control frameworks, and related regulatory and compliance standards
Obtain and analyze data from multiple sources, support and initiate efforts to improve data sourcing, and help drive innovative ways to approach regulatory testing
Explore and quickly grasp new technologies and analysis tools
Assist with determining test design and scope and identifying high risk areas to target
Establish and maintain strong relationships with Business Areas and Compliance Advisors
Assist in communicating results to Business Areas, Compliance Advisors, and Compliance Officers
Maintain strong time management, organizational, and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
Succinctly and clearly communicate complex fact patterns to others
Demonstrate strong problem-solving and conceptual skills
Demonstrate strong written and verbal communication skills
Exercise professional skepticism and judgment
Bachelor's Degree or Military Experience
At least 2 years of experience in compliance testing, risk management, compliance monitoring, control or transaction reviews, privacy or audit
At least 2 years of experience using Microsoft Office or Google Suite
At least 1 year of data analysis experience
At least 1 year of experience supporting, partnering and interacting with internal business clients
3+ years of financial services consumer compliance monitoring experience
Certified Regulatory Compliance Manager (CRCM) accreditation
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.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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).
Locations
- Richmond, Virginia, United States
- McLean, Virginia Richmond, VirginiaRichmond
Salary
50,000 - 85,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- Regulatory testingintermediate
- Data analysisintermediate
- Risk managementintermediate
- Compliance monitoringintermediate
- Problem-solvingintermediate
- Cross-functional collaborationintermediate
- Time managementintermediate
- Written and verbal communicationintermediate
Required Qualifications
- Bachelor's Degree or Military Experience (experience)
- At least 2 years of experience in compliance testing, risk management, compliance monitoring, control or transaction reviews, privacy or audit (experience)
- At least 2 years of experience using Microsoft Office or Google Suite (experience)
- At least 1 year of data analysis experience (experience)
- At least 1 year of experience supporting, partnering and interacting with internal business clients (experience)
- Preferred: 3+ years of financial services consumer compliance monitoring experience (experience)
- Preferred: Certified Regulatory Compliance Manager (CRCM) accreditation (experience)
Responsibilities
- Execute targeted, moderately complex regulatory testing
- Manage testing schedules and ensure timely completion
- Obtain and analyze data from multiple sources
- Assist with test design, scope and identifying high risk areas
- Establish and maintain relationships with Business Areas and Compliance Advisors
- Communicate testing results to stakeholders
Benefits
- general: Comprehensive, competitive, and inclusive set of health, financial and other benefits
Answer 10 quick questions to check your fit for Senior Associate, Compliance @ Capital One.
Related Books and Jobs