The Compliance Testing Senior Manager is a key second line of defense role that leads a team of Compliance professionals in determining whether Capital One processes and transactions comply with regulatory requirements. This role requires the ability to lead teams to deliver high-value testing results, be a strategic thought leader and leverage technology to improve the depth and breadth of the testing program, exhibit a high level of judgment to understand risk and solve challenging problems, and exercise strong partnership and communication skills to engage and influence critical stakeholders. This position is ideal for someone with exceptional leadership skills, a deep expertise in compliance and business processes at a large financial institution, and a proven track record of driving strategic results.
The Compliance Testing Senior Manager will -
Lead a multi-tiered Compliance Testing Team that focuses on two types of testing in USCard, Business Card and Payment, and Premium Product and Experience lines of business controls. The two types are first line controls view Compliance Control Reviews and Rapid Response Testings which strategically focus on emerging risks, new products and processes, and areas that matter.
Lead the development, management, and execution of the Compliance Testing Calendar
Align resources to ensure timely and accurate test execution. Ensure teams have tools, training, and access to information needed to effectively execute testing.
Drive strategic transformation to deepen the breadth of testing through technology solutions and reviewing the effectiveness of processes and tools
Drive innovative testing intents as a strategic leader with Risk Management tech, product, and analytics areas to transform transaction testing and control reviews
Establish and maintain strong relationships with Compliance Advisors and Business Areas
Elevate substantive issues arising in testing to senior management
Communicate test results and changes in testing procedures or processes
Create and provide result reports to Accountable Executives, Senior Compliance Officers, and the CCO
Oversee and manage responses for testing-related audits or exams, as appropriate
Basic Qualifications:
Bachelor's Degree or military experience
At least 5 years of experience in Compliance Testing, Risk Management, Compliance Monitoring, or Audit
At least 5 years of people management experience
At least 1 year of cloud data structure, data analytics, and Artificial Intelligence experience
Preferred Qualifications:
Master's degree or Juris Doctorate degree
6+ years experience at a financial institution in Compliance Testing, Risk Management, Compliance Monitoring, or Audit
6+ years of people management experience, including leading a multi-team organization
Extensive knowledge or experience with consumer regulations and related business processes
Superb verbal and written communication skills, with the demonstrated ability to communicate complex analysis in a clear and concise manner and create senior level reports
Compliance related certifications (Certified Regulatory Compliance Manager (CRCM)
Experiences engaging with analytics, products, and technology teams to lead intent
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. Learn more at theCapital 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 status, or any other basis prohibited under applicable federal, state or local law. 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, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com
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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).
