About this role
- This role is responsible for executing second-line control testing to independently validate adherence to applicable laws, regulations, and internal Policies, Standards, and Procedures (PSPs).
- 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.
- 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 completed control reviews
- Assist in communicating test results to lead advisors and Compliance Officers as needed.
- All other job-related duties that may be assigned from time to time.
- Educational Background: Bachelor’s Degree or equivalent work experience
- Professional Experience:
- At least 2 years of experience in consumer compliance testing, compliance monitoring, quality assurance, control reviews, and/or audit experience
- Skills Required:
- Understanding of the risk and compliance management framework and techniques
- Strong research and analytical skills to gather data/information for risk and controls analysis
- Clear written and verbal communication skills
- Good organizational skills
- Certified Regulatory Compliance Manager (CRCM) or other compliance related accreditations
- Experience creating and delivering effective presentations
- Basic Snowflake SQL knowledge
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 [email protected]. 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 [email protected]
Capital 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).
Other facts
About Capital One
At Capital One, we're making things better for our customers and associates through innovation and collaboration. We were founded on the belief that everyone deserves financial freedom—and are dedicated to a world where all have equal opportunity to prosper.
Banking is in our DNA, but we are so much more than a bank. We always think about what’s next—and how we can bring our customers the tools needed to improve their financial lives. Your ideas, experiences and skills will help make banking better. You’ll be part of a supportive culture while earning amazing benefits. That’s life at Capital One.
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.
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What you'll do
- The Sr. Compliance Specialist is responsible for executing second-line control testing to validate adherence to laws, regulations, and internal policies. This includes managing test schedules, analyzing data, and drafting reports for completed control reviews.
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