Compliance Tester III

Capital One

. Execute complex risk-based compliance reviews to independently validate business-line adherence to applicable laws and regulations .

Posted 10/6/2026full-timeUnited StatesMid-LevelSenior💰 $109,900 - $150,500 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in executing risk-based compliance reviews and validating adherence to regulatory requirements, with a strong focus on data analysis and innovative testing approaches. Proficient in managing compliance processes and maintaining relationships with stakeholders to support audit and examination activities.

Highest-signal resume keywords

Risk ManagementCompliance AuditingData AnalysisRobotics Process AutomationSQL

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance ReviewsData AnalysisRegulatory RequirementsTesting AutomationSQLPythonOptical Character RecognitionNatural Language ProcessingControl FrameworksDocument-Retention Guidelines

Soft Skills

Relationship ManagementCommunicationTime Management

Tools & Technologies

Google G-SuiteRevealRobotics Process AutomationOptical Character RecognitionNatural Language Processing

Certifications & Qualifications

High School DiplomaGED

Industry Keywords

Financial ServicesCompliance StandardsRisk Management FrameworkAuditControl Reviews

Tech Stack

Tools & technologies

PythonSQL

About the role

Key responsibilities & impact

Execute complex risk-based compliance reviews to independently validate business-line adherence to applicable laws and regulations
Execute compliance reviews based on the line of business and its regulatory risks
Provide independent monitoring for lines of business against Capital One's risk management framework
Test adherence to business regulatory requirements
Test data and automation for adherence to regulatory requirements
Manage compliance with appropriate testing document-retention guidelines
Demonstrate understanding of business processes, control frameworks, and regulatory and compliance standards
Obtain and analyze data, supporting improvements to internal program elements and testing innovation with business partners
Manage schedules to ensure results are completed within established timeframes and documented in systems of record
Assist with assessment plans by validating and improving existing designs and identifying opportunities to execute reviews in high-risk areas
Establish and maintain relationships with Compliance Advisors and Business Areas
Support Compliance audits and examinations as needed
Relay technical information and data to non-technical stakeholders

Requirements

What you’ll need

High School Diploma, GED or equivalent certification
At least 3 years of experience in audit, compliance, risk management, control or transaction reviews
Bachelor's Degree (preferred)
Proficiency with Google G-Suite and Reveal (preferred)
4+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience (preferred)
3+ years of experience analyzing data from various sources and making recommendations based on data (preferred)
Working knowledge of technology testing solutions, including Robotics Processing Automation, Optical Character Recognition, and Natural Language Processing (preferred)
Basic understanding of data schemas or data structure and experience engaging with data analytics teams to help drive innovative testing approaches (preferred)
Basic knowledge of data and software scripts using SQL and Python to perform effective challenge on the design and operations of the scripts (preferred)
At this time, Capital One will not sponsor a new applicant for employment authorization for this position

Benefits

Comp & perks

Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
Comprehensive, competitive, and inclusive health, financial and other benefits supporting total well-being
Equal opportunity employer committed to non-discrimination
Reasonable accommodations for applicants with disabilities
Drug-free workplace