Compliance Testing Sr. Manager

Compliance Testing Sr. Manager

The Compliance Testing Senior Manager is a key second line of defense role that leads a team of Compliance professionals in determining whether Capital One’s processes and transactions comply with regulatory requirements. This role requires the ability to lead teams to deliver high-value testing results, be a strategic thought leader and leverage technology to improve the depth and breadth of the testing program, exhibit a high level of judgment to understand risk and solve challenging problems, and exercise strong partnership and communication skills to engage and influence critical stakeholders. This position is ideal for someone with exceptional leadership skills, a deep expertise in compliance and business processes at a large financial institution, an ability to understand technological innovations, and a proven track record of driving strategic results.

The Compliance Testing Senior Manager will:

• Lead a multi-tiered Compliance Testing Team that focuses on testing across the Capital One Enterprise by piloting new testing methodologies and working with data teams to perfect new testing innovations.
• Assist with the development, management, and execution of the Compliance Testing calendars, data scripts, and methodologies.
• Align resources to ensure timely and accurate test execution. Ensure teams have tools, training, and access to information needed to effectively execute testing.
• Support strategic transformation to deepen the breadth of testing through technology solutions and reviewing the effectiveness of processes and tools
• Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives,
• Establish and maintain strong relationships with Compliance Advisors, Test Leads, Data Teams, and Business Areas
• Elevate substantive issues arising in testing to senior management
• Communicate test results and changes in testing procedures or processes
• Create and provide result reports to Accountable Executives, Senior Compliance Officers, and the CCO
• Oversee and manage responses for testing-related audits or exams, as appropriate

Basic Qualifications:

• At least 6 years of experience at a financial institution in Compliance Testing, Risk Management, Compliance Monitoring, or Audit
• At least 5 years of people management experience or experience leading teams or projects.

Preferred Qualifications:

• Master’s degree or Juris Doctorate degree
• 6+ years of people management experience, including leading a multi-team organization
• Extensive knowledge or experience with consumer regulations and related business processes
• Superb verbal and written communication skills, with the demonstrated ability to communicate complex analysis in a clear and concise manner and create senior level reports
• Compliance related certifications (Certified Regulatory Compliance Manager (CRCM) or similar certification
• Experiences engaging with analytics, products, and technology teams to lead intent
• Experience scripting in Python and SQL (e.g. to test full populations for key attributes)

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.

This role is expected to accept applications for a minimum of 5 business days.

Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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.

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).