NYC 299 Park Avenue (22957), United States of America, New York, New YorkSenior Compliance Testing Associate – Commercial – Capital One Securities
Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #127 on the Fortune 500, Capital One is one of the nation's top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.
The Compliance Tester II (Senior Associate) performs a key second line of defense role, to help ensure corporate initiatives and departmental processes across all applicable lines of business, specifically within the Capital One Securities Commercial Compliance Testing team are met. The Compliance Tester II will execute risk-based compliance transaction or control testing under the leadership of a team leader, for the purpose of independently validating Capital One Securities activities by determining compliance with applicable securities laws and regulations – the Securities & Exchange Commission (SEC) regulations and Financial Industry Regulatory Authority (FINRA) Rules.
Responsibilities will include (but may not be limited to):
-Under the leadership of a team leader, executing targeted transactions or control testing for applicable SEC and FINRA compliance requirements
-Managing to testing schedules to ensure all tasks and reporting are completed within established timeframes
-Analyzing data from multiple sources and systematically documenting the work and results
-Reviewing transaction and control tests executed by peers for accuracy and adherence to test procedures
-Establishing and maintaining strong relationships with Compliance Advisors and Business Areas, as needed
-Assisting in communicating results to Compliance Officers, as needed
At least 2 years of experience testing, monitoring in a compliance department for an institutional broker dealer, or at least two years of experience performing a compliance advisory role
High School Diploma, GED, or equivalent certification
Bachelor's degree in Auditing, Accounting, Finance, Economics, Information Systems, Business Administration
At least 3 years of experience testing or monitoring
At least 3 years of experience as a compliance advisor in a compliance department for an institutional broker dealer
At least 3 years of experience with FINRA & SEC regulations
Proficient knowledge of institutional broker activities (trading, best execution, research and investment banking transactions)
Proficient knowledge of FINRA and SEC regulations
Strong problem-solving and conceptual thinking skills
Strong communication skills
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Location is New York City: $96,254 - $113,558 for Compliance Tester II
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.
This 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.
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 Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual 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 inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
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 [email protected]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please send an email to [email protected]
Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.
Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).
Child care benefits