Compliance Testing Manager - Anti- Laundering; AML

Compliance Testing Manager - Anti-Money Laundering (AML)

The Compliance Testing Manager performs a key second line of defense role, to help ensure regulatory requirements are met across the enterprise and applicable lines of business. The Compliance Testing Manager will be responsible for performing quality assurance on testing executed by compliance testers.

• Providing guidance on development of test plans
• Communicating changes in testing procedure, including schedule changes
• Ensuring that testing results are executed timely, technically accurate, appropriately socialized with key stakeholders 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
• Traveling to various Capital One locations if necessary

• 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 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
• Assist with driving innovative ways to approach 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 compliance testing, compliance, legal, audit, risk management, AML or Fraud investigation experience
• At least 2 years of people management experience

• 6+ years of compliance testing, compliance, legal, audit, risk management, AML or Fraud investigation experience
• 3+ years of people management experience
• Strong working knowledge of Suspicious Activity Report (SAR), Currency Transaction Report (CTR), and/or Suspicious Transaction Reports (STRs) filing requirements
• Strong working knowledge of both US and Canadian laws and regulations as they relate to AML and Sanctions.
• Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsible to dynamic situations
• Association of Certified Anti-Money Laundering Specialists (ACAMS), Certified Fraud Examiner (CFE), Certified Financial Crime Specialists (CFCS) or Certified Regulatory Compliance Manager (CRCM) certification.

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

McLean, VA: $151,900 - $173,400 for Compliance Testing Manager
Richmond, VA: $138,100 - $157,700 for Compliance Testing Manager

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. No agencies please. Capital One is an equal‑opportunity employer (EOE, including disability/vet) committed to non‑discrimination in compliance with applicable federal, state, and local laws and regulations. Capital One promotes a drug‑free workplace. Capital One will consider for employment qualified applicants with a criminal…