HicksvilleRecruiter Since 2001
the smart solution for Hicksville jobs

Principal Risk Compliance Testing Associate

Company: Capital One
Location: Hicksville
Posted on: November 3, 2019

Job Description:

West Creek 3 (12073), United States of America, Richmond, Virginia

At Capital One, we--------re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Principal Risk Compliance Testing Associate

Title: Principal Risk Compliance Testing Associate -----" Anti-Money Laundering and Sanctions

Level: Principal Associate

Job Description:

The Anti-money Laundering (AML) Requirements and Controls team is seeking a Principal Associate with experience in testing IT controls and performing data analytics. The associate will be responsible for executing risk-based compliance testing under the leadership of a team leader, including independently validating control design and operating effectiveness and facilitating adherence to applicable Laws, Regulations, and Guidance. In this high exposure role, the Principal Associate will mentor associates, work with senior management, and test technology controls that support compliance with AML across our enterprise. In addition, the role will work on innovative process improvements, such as automating testing of AML controls across the enterprise.

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

--- Under the leadership of the senior manager, executing control testing for AML and Sanctions related requirements. The tester will apply a strong understanding of methods to test IT system controls, data management controls, reading scripts, and model governance controls while executing control testing.
--- 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. This analysis includes using data analytics and dashboard reporting to monitor the effectiveness of AML controls across multiple lines of business.
--- Use critical and creative thinking skills to identify improvement opportunities, root causes, and provide recommendations that drive value.
--- Review testing documentation executed by peers for accuracy and adherence to test procedures.
--- Prepares well documented work papers.
--- Establish and maintain strong relationships with Compliance Advisors and Business Areas as needed.
--- Assist in communicating results to management and Compliance Officers, as needed. This includes oral and written presentations to management during and at the conclusion of testing, discussing noted deficiencies and recommending corrective action.
--- Track testing results for ongoing analysis and process improvement.
--- Assist management in the development of the planned activities.
--- Lead initiatives and other process improvement activities.
--- Update the AML regulatory applicability and control data in the system of record.
--- Travel: Occasional travel is possible (-10-15%) to COF sites.

Basic Qualifications:

--- High School Diploma, GED or equivalent certification.
--- At least 2 years of experience in Anti-Money Laundering (AML) compliance, or at least 2 years of experience in financial services.

Preferred Qualifications:

--- 4 years of financial services AML compliance monitoring experience, 4 years of AML compliance auditing experience or a related field.
--- 4 years of experience in IT audit, data analytics or a related field (i.e., test SQL, SAS).
--- Bachelor's degree

At this time, Capital One will not sponsor a new applicant for employment authorization for this position

Keywords: Capital One, Hicksville , Principal Risk Compliance Testing Associate, Education / Teaching , Hicksville, New York

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category

Other Education / Teaching Jobs

Assistant Professor of Athletic Training
Description: Date Posted November 5, 2019 Employment Type Full-time The Division of Health and Human Performance at Alfred University invites applications for a tenure track Assistant Professor of Athletic Training (more...)
Company: Alfred University
Location: New York
Posted on: 11/15/2019

Principal- Immediate Hire
Description: The Principal will report directly to the Superintendent and serve as the head of the school's leadership team. The Principal, working with the Academic Dean, will provide strategic and instructional (more...)
Company: Capital Preparatory Charter Schools
Location: New York
Posted on: 11/15/2019

Dance Fitness Instructor
Description: Experienced
Company: Banana Skirt Productions
Location: New York
Posted on: 11/15/2019

New York Mathematics Teachers
Description: New York State Certified Math Educators br br Ready to Help Power the Future of Education Are You a New York State Certified Teacher iTutor.com Inc. is a leading and accepted education
Company: iTutor.com Inc.
Location: New York
Posted on: 11/15/2019

Group Exercise Instructor
Description: OpportunityWe are seeking
Company: Brrrn
Location: New York
Posted on: 11/15/2019

Investment Principal
Description: Saudi Aramco is launching a major new global venture capital program with significant focus on the US market.-- The program will be investing in leading venture capital funds and directly into start-ups (more...)
Company: Aramco Services Company
Location: New York
Posted on: 11/15/2019

Dance Instructors
Description: We are looking for instructors for our 2018 Fall season. We are a relatively new studio and are growing at a very rapid pace. The
Company: JZT Dance
Location: Staten Island
Posted on: 11/15/2019

Part-Time English Instructor, Manhattan
Description: PART-TIME LANGUAGE INSTRUCTOR br br ABOUT BERLITZ br br Berlitz enables people to communicate with confidence in a global environment in order to achieve their goals in life. br br As the (more...)
Company: Berlitz Corporation
Location: New York
Posted on: 11/15/2019

Principal Supplier Auditor
Description: DescriptionCelgene is a global biopharmaceutical company leading the way in medical innovation to help patients live longer, better lives. Our purpose as a company is to discover and develop therapies (more...)
Company: Celgene
Location: Summit
Posted on: 11/15/2019

Teacher I/ Long-term substitute teacher- full-time, 10-month position for 1 school year
Description: MAIN - Main Hospital Req ID: 28772 br br Shift: Days br br Employment Status: AF - Active - Regular - Full Time JOB SUMMARY br br The Teacher is responsible for the planning and delivery of (more...)
Company: The Children's Hospital of Philadelphia
Location: Philadelphia
Posted on: 11/15/2019

Log In or Create An Account

Get the latest New York jobs by following @recnetNY on Twitter!

Hicksville RSS job feeds