Privacy Compliance Tester, Principal Associate, Capital One, Melville, NY; or Richmond, VA

The Compliance Tester, Principal Associate, performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable Privacy laws and regulations. The Compliance Tester III will be responsible for executing complex risk-based compliance transaction testing for the purpose of independently validating business line adherence to applicable consumer laws and regulations including, but not limited to, CANSPAM, FCRA, FACTA, TCPA, GLBA and Regulation P requirements. 


  • Demonstrate an understanding of business processes and related regulatory and compliance standards
  • Develop and execute test plans, continually validating and improving existing test design while also identifying new opportunities to execute testing in high risk areas
  • Obtain and analyze test data, supporting and initiating efforts to improve data sourcing partner
  • Identify regulatory issues, evaluate their risk implications, and draw the appropriate conclusions to best communicate results with the lines of business
  • Manage to testing schedules to ensure all test results are completed within established timeframes and documented within systems of record
  • Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources
  • Review tests executed by peers for accuracy and adherence to test procedures
  • Submit test results and systematically retaining documents that substantiate test results
  • Establish and maintain strong relationships with Compliance Advisors and Business Areas
  • Support Compliance audit and exams as needed
  • Demonstrate strong problem-solving and conceptual skills
  • Demonstrate strong written and verbal communication skills
  • Exercise professional skepticism and judgment

Basic Qualifications:

  • High School Diploma, GED or equivalent certification
  • At least 2 years of experience in audit, compliance or an analytical discipline

Preferred Qualifications:

  • Bachelor’s Degree or Military Experience
  • At least 1 year with Google G-Suite
  • 3 years of financial services consumer compliance monitoring, auditing, or compliance testing experience
  • Certified Information Privacy Professional (CIPP) accreditation
  • Certified Regulatory Compliance Manager (CRCM) accreditation

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

Application Submission Information:

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