Manager, Compliance Testing

Manager, Compliance Testing

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.

The Compliance Testing 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
• Traveling to various Capital One locations if necessary

Responsibilities will include (but may not be limited to):

• 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

Basic Qualifications:

• High school diploma, GED or equivalent certification
• At least 5 years of compliance testing, legal, audit, risk management or Fraud investigation experience
• At least 1 year of people management experience

Preferred Qualifications:

• Bachelors degree
• 6+ years of compliance testing, legal, audit, risk management or Fraud investigation experience
• 2+ years of experience with people management
• Strong working knowledge of Suspicious Activity Report (SAR), Currency Transaction Report (CTR) 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), or Certified Financial Crime Specialists (CFCS) 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. 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 hours to be regularly worked.

McLean, VA: $146,100 - $166,700 for Compliance Testing Manager
New York, NY: $159,400 - $181,900 for Compliance Testing Manager
Plano, TX: $132,800 - $151,600 for Compliance Testing Manager
Richmond, VA: $132,800 - $151,600 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 to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

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 committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran…