Small Business Card Compliance Tester – Senior Partner (Remote Eligible) at Capital One

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West Creek 2 (12072), United States of America, Richmond, Virginia

Small Business Card Compliance Tester – Senior Associate (Remote Eligible)

The Small Business Card division of Capital One is made up of highly motivated professionals whose mission is to become America’s leading shopping program for the small businesses and small business owners we serve. As a Compliance Tester III (Senior Associate), you will have the opportunity to ensure that Small Business Card remains positioned to deliver industry-leading results by elevating our best-in-class credit, compliance and operational control environments. . You will be responsible for ensuring that Small Business Card controls are designed and implemented in a manner that meets the intent of SBC’s well-managed best practices as well as company policies. Attention to detail is essential in this role to ensure controls are operating as intended and corresponding risks are appropriately mitigated. This role supports the core priorities of the Small Business Card organization and will provide the expertise needed to enable the organization to effectively manage some of the most critical aspects within the small business credit, operations and compliance ecosystems. .

Compliance Tester III will support small business cards by:

  • Manage a team of risk specialists who partner with across the business to test controls
  • Development and execution of control testing strategy and schedule
  • Review and oversee testing performed by testing resources
  • Documentation and tracking of issues; collaborate with control intent owners to ensure remediation plans are established and adhered to
  • Manage, implement and deliver a subset of program deliverables

Additional responsibilities will include (but will not be limited to):

  • Guided by team leadership, execute targeted and complex tests
  • Suggest changes to testing or perform high-risk testing as needed
  • Develop new complex test plans, validate and continuously improve test design
  • Manage test schedules to ensure all tasks and reports are completed within established timelines
  • Obtain and analyze test data from multiple sources, following documented test plans, test protocols, and leveraging job aids as needed
  • Support and initiate efforts to improve data sourcing and partner with business and IT domains to develop improved data sources
  • Ensure documentation is complete and remains current and reproducible in relevant systems of record
  • Build and maintain strong relationships with compliance advisors and lines of business
  • Help communicate results to business areas
  • Track inspection results for ongoing analysis and trend reporting
  • Assist management in developing inspection schedules and trend reports
  • Review tests performed by peers for accuracy and adherence to test procedures
  • Support audit, reviews and Independent Risk Management (IRM) as needed

Basic qualities:

  • At least 2 years of experience in control testing or internal audit

Preferred qualifications:

  • Bachelor’s degree or military experience
  • 4+ years of compliance monitoring experience or 4+ years of auditing experience
  • 4+ years of work experience in financial services, particularly in accounting, or 4+ years of work experience in financial services, in particular in auditing, or 4+ years of work experience in financial services , in particular in accordance
  • CAMS certificate or willing to work towards obtaining the certificate

“Capital One is open to hiring a remote employee for this opportunity.”

At this time, Capital One will not be sponsoring new employment authorization applicants for this position.

No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will be considered for employment without regard to gender, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background investigations, including, to the extent applicable, Section 23-A of the Corrections Act from New York ; San Francisco, California Police Code, Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background investigations.

If you have visited our website looking for information on employment opportunities or to apply for a position, and you are in need of accommodation, please contact Capital One Recruiting at 1-800-304-9102 or by email to [email protected] All information you provide will be kept confidential and will only be used to the extent necessary to provide the necessary reasonable accommodations.

For technical assistance or questions about the Capital One recruiting process, please email [email protected]

Capital One does not provide, endorse or warrant, and is not responsible for any third party products, services, educational tools or other information available on this site.

Capital One Financial is made up of several different entities. Please note that any job posted in Canada is for Capital One Canada, any job posted in the UK is for Capital One Europe and any job posted in the Philippines is for Capital One Philippines Service Corp. (COPSC).

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