Compliance Tester III

Capital One

. Execute targeted, complex transaction testing for regulatory and line of business compliance requirements in alignment with team and ICTT methodology and procedures .

Posted 10/23/2026full-timeUnited StatesMid-LevelSenior💰 $109,900 - $137,900 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance testing and monitoring, with a strong focus on regulatory adherence and risk management. Proficient in data analysis and testing methodologies, leveraging tools like SQL and Excel to enhance compliance processes.

Highest-signal resume keywords

Compliance TestingData AnalysisSQLExcelFinancial Services

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance TestingQuality AssuranceControl ReviewAuditData SourcingScripting in PythonScripting in PerlScripting in JavaScriptScripting in ShellTeradata

Soft Skills

CommunicationRelationship ManagementProblem Solving

Tools & Technologies

ExcelSQLTeradataRedshift

Certifications & Qualifications

High School DiplomaGED

Industry Keywords

Regulatory ComplianceFinancial ServicesRisk ManagementCompliance Monitoring

Tech Stack

Tools & technologies

Amazon RedshiftJavaScriptPerlPythonSQL

About the role

Key responsibilities & impact

Execute targeted, complex transaction testing for regulatory and line of business compliance requirements in alignment with team and ICTT methodology and procedures
Execute control reviews under the CCR methodology
Suggest changes to testing or perform high risk testing as needed
Manage testing schedules to ensure all tasks and reporting are completed within established timeframes
Obtain and analyze test data from multiple sources, following documented test plans, and systematically document the work and results
Develop new ways to test large populations of data
Review transaction tests executed by peers for accuracy and adherence to test procedures
Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources
Systematically retain documents that substantiate test results
Establish and maintain relationships with Compliance Advisors and Business Areas
Explore and quickly grasp new technologies to progress varied initiatives
Communicate results to Compliance Officers and other stakeholders
Support lines of business by testing adherence to business and regulatory requirements, risk-based compliance transactions, and control activities mitigating risks and requirements
Perform a key second line of defense role helping ensure corporate initiatives and departmental processes comply with applicable laws and regulations

Requirements

What you’ll need

High School Diploma, GED or equivalent certification
At least 3 years of experience in compliance testing, compliance monitoring, quality assurance, control review or audit
Bachelor's degree (preferred)
4+ years of experience in financial services consumer compliance testing, monitoring, or auditing (preferred)
Experience creating presentations (preferred)
Experience with Excel, SQL, Teradata or Redshift (preferred)
Scripting experience in Python, Perl, JavaScript or Shell (preferred)
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
Reasonable accommodations for applicants with disabilities