Principal Compliance Tester- Privacy
West Creek 3 (12073), United States of America, Richmond, Virginia
At 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 Compliance Tester- Privacy
Summary: The Compliance Tester III performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Compliance Tester III will be responsible for executing complex risk-based compliance transaction testing for the purpose of independently validating business line adherence to applicable consumer laws and regulations including but not limited to Regulations CANSPAM, FCRA, FACTA, GLBA and Regulation P. The Compliance Tester III will support lines of business by:
- Testing adherence to business regulatory requirements;
- Testing risk based compliance transactions;
- Demonstrating strong problem-solving and conceptual skills
- Demonstrating strong written and verbal communication skills
- Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and Independent Compliance Transaction Testing (ICTT) methodology and procedures
- Suggest changes to testing or perform high risk testing as needed
- Develop test plans, continually validate and improve test design
- Obtain and analyze test data from multiple sources, following documented test plans, testing protocols and leveraging job aids as needed
- Manage to testing schedules to ensure all tasks and reporting are completed within established timeframes
- Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources
- Review tests executed by peers for accuracy and adherence to test procedures
- Submitting test results in the Compliance database software and systematically retaining documents that substantiate test results
- Establish and maintain strong relationships with Compliance Advisors and Business Areas
- Support ICTT and Compliance audit and exams as needed
- Bachelor's Degree or Military Experience
- At least 2 years of experience working in financial services, specifically within accounting, audit, or an analytical discipline
-Experience with MS Office Suite
- At least 3 years of financial services consumer compliance monitoring experience, or 3 years of auditing experience, or 3 years of compliance testing experience, specifically within financial services
- Certified Information Privacy Professional (CIPP) accreditation
- Certified Regulatory Compliance Manager (CRCM) accreditation
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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