Compliance Testing Manager

Compliance Testing Manager

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. As a leader in this space, you will be responsible for performing quality assurance on risk-based compliance transaction testing executed by compliance testers, ensuring our validation processes remain rigorous and effective.

Whether you are managing a dedicated team or operating as a high-level individual contributor leading complex testing initiatives, you will demonstrate strong problem-solving, conceptual, and negotiation skills. You will draw essential conclusions that protect both our customers and the integrity of our brand, ensuring that as Capital One innovates, we do so responsibly. A successful candidate enjoys developing a deep understanding of regulatory requirements and drawing conclusions based on critical thinking, judgement, and analysis.

In addition, this role requires high attention to detail and excellent verbal and written communication skills.

• Lead & Mentor: Manage, develop, or mentor a team of compliance testers or lead complex cross-functional testing initiatives. Manage staffing and project assignments to ensure successful completion of calendar commitments.

• Test Design & Validation: Provide guidance on the development of test plans, identify high risk areas to target, and continually validate and improve test design. Evaluate the accuracy of tests executed by compliance testers and adherence to processes and procedures.

• Maintain Operational Rigor: Ensure that testing results are executed timely, technically accurate, and reasonable. Manage testing schedules to ensure they are completed in the appropriate timeframe, communicating any schedule or procedural changes. Analyze and document work results and amend the testing calendar as needed.

• Innovate: Identify opportunities to improve testing with current technologies, such as approved AI and Machine Learning tools. Manage data sourcing to ensure data is obtained following documented test plans and testing protocols.

• Collaborate & Communicate: Establish and maintain strong relationships with compliance advisors and business areas. Engage with subject matter experts as needed to determine adherence to test procedures and provide updates on testing status.

• Oversight Support: Support Independent Compliance Transaction Testing (ICTT) and Compliance audits and exams as needed. Review the work of the testing team and demonstrate strong written and verbal communication skills.

• Bachelor's degree

• At least 5 years of compliance testing, legal, audit, risk management or Fraud investigation experience.

• At least 2 years of experience interacting with senior management or business partners.

• 6+ years of compliance testing, legal, audit, risk management or Fraud investigation experience.

• 2+ years of experience with people management or leading complex testing programs.

• Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsible to dynamic situations.

• 2+ years of experience analyzing data from various sources and making actionable recommendations.

• Strong working knowledge of consumer privacy laws

• Active professional certification, such as Association of Certified Anti-Money Laundering Specialists (ACAMS), Certified Fraud Examiner (CFE), Certified Financial Crime Specialists (CFCS), Certified Regulatory Compliance Manager (CRCM), Certified Information Privacy Professional (CIPP), or an Artificial Intelligence Governance certification (AIGP).

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

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.

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.