Capital One Senior Associate Compliance 

United States, Texas, Plano 

892432795

Senior Associate, Compliance

The Compliance Complaints Team within the Compliance organization is seeking an experienced Senior Associate who will be responsible for executing compliance testing and reviews. The Senior Associate will be responsible for ensuring various levels of consumer complaints are resolved in adherence to the Enterprise Complaints Operating Standard. This role will have the opportunity to work with a variety of teams across Capital One. A successful candidate enjoys developing a deep understanding of requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with both 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.

Responsibilities will include (but may not be limited to):

• Under the leadership of a team leader, executes targeted reviews and testing for both enterprise wide operating standards and consumer compliance requirements

• Manages testing schedules to ensure all tasks and reporting are completed within established timeframes

• Analyzes data from multiple sources and systematically documents the work and results

• Reviews tests executed by peers for accuracy and adherence to test procedures

• Establishes and maintains strong relationships with Business Areas and Compliance Advisors

• Assists in communicating results to Accountable Executives and Compliance Officers, as needed

• Has general understanding of applicable laws and regulations impacting Financial Services products and can identify when a case needs to be escalated due to potential compliance and/or legal exposure

• Leverages critical thinking and expertise to anticipate and identify issues

Basic Qualifications:

• High School Diploma, GED or equivalent certification

• At least 1 year of experience working in financial services

• At least 1 year of experience working in Compliance, Legal, Risk, Complaints or Escalations

Preferred Qualifications:

• Bachelors Degree

• 2+ years of financial services consumer compliance monitoring or quality assurance experience

• 2+ years complaint handling experience

• Certified Notary Public

Plano, TX: $86,000 - $98,200 for Compliance Tester IIThis role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.