Senior Associate, Compliance

The Corporate Compliance team is seeking an experienced Senior Associate who will be responsible for executing risk-based regulatory testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable laws, regulations, and guidance. A successful candidate enjoys developing a deep understanding of requirements, conducting regulatory testing, and drawing conclusions based on critical thinking, judgment and analysis.

The role requires the ability to work cross-functionally with business partners and compliance advisors and the ability to work autonomously. In addition, this role requires great attention to detail and excellent verbal and written communication skills.
* Execute targeted, moderately complex regulatory testing for line of business compliance requirements
* Manage to testing schedules to ensure all tasks and reporting are completed within established time frames
* Demonstrate an understanding of regulatory testing methodology, business processes, control frameworks, and related regulatory and compliance standards
* Obtain and analyze data from multiple sources, support and initiate efforts to improve data sourcing, and help drive innovative ways to approach regulatory testing
* Explore and quickly grasp new technologies and analysis tools
* Assist with determining test design and scope and identifying high risk areas to target
* Establish and maintain strong relationships with Business Areas and Compliance Advisors
* Assist in communicating results to Business Areas, Compliance Advisors, and Compliance Officers
* Maintain strong time management, organizational, and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
* Succinctly and clearly communicate complex fact patterns to others
* Demonstrate strong problem-solving and conceptual skills
* Demonstrate strong written and verbal communication skills
* Exercise professional skepticism and judgment
* Bachelor's Degree or Military Experience
* At least 2 years of experience in compliance testing, risk management, compliance monitoring, control or transaction reviews, privacy or audit
* At least 2 years of experience using Microsoft Office or Google Suite
* At least 1 year of data analysis experience
* At least 1 year of experience supporting, partnering and interacting with internal business clients
* 3+ years of financial services consumer compliance monitoring experience
* Certified Regulatory Compliance Manager (CRCM) accreditation

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
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