Compliance Testing Manager

Compliance Testing Manager

The Compliance Testing Manager oversees transaction testing and control testing for the purpose of validating that processes and controls are designed effectively to sufficiently mitigate the risk of the applicable requirements and are operating as intended. The Compliance Testing Manager is responsible for performing quality assurance on testing executed by compliance Testers.

The Compliance Testing Manager will join the Discover Financial Services Integration Testing Team and perform a key second line of defense role, to help ensure integration initiatives and departmental processes comply with applicable regulations including but not limited to Fair Credit Reporting Act (FCRA), Fair Debt Collection Practices Act (FDCPA), Reg B – Equal Credit Opportunity Act (ECOA), Regulation Z – Truth in Saving, US – FFIEC – Uniform Retail Credit Classification and Account Management (URCCAM), US – Regulation E – Electronic Fund Transfer Act (EFTA), AML/BSA regulations, and UDAAP.

The testing manager will report to the integration test lead and lead a team of integration compliance testers. Manager will support testers by:

• Providing guidance on development of test plans
• Communicating changes in testing procedure, including schedule changes
• Ensuring that testing results are executed timely, technically accurate, and reasonable
• Reviewing work of Testing Team
• Demonstrating strong problem‑solving and conceptual skills
• Demonstrating strong written and verbal communication skills
• Demonstrating strong negotiation and leadership skills
• Pursuing compliance certifications if not already certified
• Navigating Google and MS Office applications

• Manage and develop team of Compliance Testers
• Manage staffing assignments to ensure successful completion of calendar commitments
• Develop test plans, continually validate and improve test design
• Evaluate the accuracy of tests executed by compliance testers and adherence to processes and procedures
• Manage to testing schedules to ensure they are completed in appropriate timeframe
• Identify the need for improved data sourcing and partner with business and IT areas to develop improved data sources
• Manage data sourcing to ensure data is obtained following documented test plans and testing protocols
• Amend testing calendar as needed
• Analyze and document work results
• Establish and maintain strong relationships with Compliance Advisors and Business Areas
• Engage with subject matter experts as needed to determine adherence to test procedures
• Provide updates on testing status as needed
• Support ICTT (Independent Compliance Transaction Testing) and Compliance audit and exams as needed
• Partner with the testing team to provide consultancy and translate the testing needs to design and develop tools, techniques, metrics, and dashboards for insights and data visualization.
• Evaluate data management, data quality and data access processes for gaps, inefficiencies and opportunities; provide recommendations for improvement
• Drive an understanding and adherence to the principles of data quality management including metadata, lineage, and business definitions

• Bachelor’s Degree or Military Experience
• At least 5 years of experience working in financial services, specifically within compliance, audit, or an analytical discipline
• At least 2 years of people management experience

• 6+ years of financial services consumer compliance monitoring experience, or 6+ years of auditing experience, or 6+ years of compliance testing experience, specifically within financial services
• 3+ years of people management experience
• Certified Regulatory Compliance Manager (CRCM) accreditation

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…