Compliance Testing Manager - Anti- Laundering; AML

Overview

Compliance Testing Manager - Anti-Money Laundering (AML) performs a key second line of defense role to help ensure regulatory requirements are met across the enterprise and applicable lines of business. The role is responsible for performing quality assurance on testing executed by compliance testers.

• Provide guidance on development of test plans
• Communicate changes in testing procedure, including schedule changes
• Ensure that testing results are executed timely, technically accurate, appropriately socialized with key stakeholders, and reasonable
• Review the work of the Testing Team
• Demonstrate strong problem-solving and conceptual skills
• Demonstrate strong written and verbal communication skills
• Demonstrate strong negotiation and leadership skills
• Pursue compliance certifications if not already certified
• Travel to various Capital One locations if necessary

• Manage and develop a 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 testing schedules to ensure completion within the 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
• Assist with driving innovative approaches to testing
• 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

• Bachelor’s Degree or Military Experience
• At least 5 years of experience in compliance testing, compliance, legal, audit, risk management, AML or fraud investigation
• At least 2 years of people management experience

• 6+ years of experience in compliance testing, compliance, legal, audit, risk management, AML or fraud investigation
• 3+ years of people management experience
• Strong working knowledge of SAR, CTR, and/or STR filing requirements
• Strong working knowledge of US and Canadian AML and Sanctions laws and regulations
• Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsible to dynamic situations
• ACAMS, CFE, CFCS or CRCM certification

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. Salaries for part-time roles will be prorated based upon hours worked.

McLean, VA: $151,900 - $173,400 for Compliance Testing Manager

Richmond, VA: $138,100 - $157,700 for Compliance Testing Manager

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 will be reflected in the offer letter.

This role is eligible to earn performance-based incentive compensation, which may include cash bonuses 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. Learn more at the Capital One Careers website. Eligibility varies based on status and management level.

Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One promotes a drug-free workplace and will consider qualified applicants with a criminal history in accordance with applicable laws.

If you require accommodation during the application process, please contact Capital One Recruiting at  All information provided will be kept confidential and used only to provide needed reasonable accommodations.

For questions about Capital One's recruiting process, please email  Capital One does not provide, endorse nor guarantee third-party products or services offered through this site. Capital One Financial entities may vary by country.