Compliance Tester III – Principal Associate
| Company | Capital One |
|---|---|
| Location | Plano, TX, USA, McLean, VA, USA, Richmond, VA, USA, New York, NY, USA |
| Salary | $106700 – $146100 |
| Type | Full-Time |
| Degrees | |
| Experience Level | Mid Level, Senior |
Requirements
- High school diploma, GED, or equivalent certification
- At least 3 years of experience testing or monitoring in a compliance department for an institutional broker dealer or a swap dealer, or at least 3 years of experience performing a compliance advisory role, or at least 3 years of experience at a regulator.
Responsibilities
- Under the leadership of a team leader, execute targeted transaction or control testing for applicable regulatory requirements.
- Manage testing schedules to ensure all tasks and reporting are completed within established timeframes.
- Analyze data from multiple sources and systematically document the work and results.
- Support management and review transaction and control tests executed by peers for accuracy and adherence to testing methodology.
- Participate in Annual Planning.
- Establish and maintain strong relationships with Compliance Advisors and Business areas as needed.
- Assist in communicating results to Compliance Officers, Advisors and Business areas, as needed.
Preferred Qualifications
- Bachelor’s degree in Auditing, Accounting, Finance, Economics, Information Systems, or Business Administration
- 4+ years of experience testing or monitoring
- 4+ years of experience as a compliance advisor in a compliance department for an institutional broker dealer or swap dealer
- 4+ years of experience with NFA, FINRA SEC or CFTC
- Proficient knowledge of swaps (interest rate, or foreign exchange, or commodities), or derivatives or futures
- Proficient knowledge of CFTC, NFA, SEC, FINRA, and FDPA regulations.