Compliance Testing Manager

Compliance Testing Manager

The Financial Services and Fair & Responsible Banking Compliance Testing Manager oversees transaction testing and control testing for the purpose of validating that processes and controls are designed effectively to sufficiently mitigate the risk of the applicable requirements and are operating as intended. The Compliance Testing Manager is responsible for performing quality assurance on testing executed by compliance Testers and supports 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:

• Coach and develop a high-performing team of Compliance Testers, focusing on professional growth, performance calibration, and fostering a collaborative environment for continuous improvement

• 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 :

• Bachelor's Degree or Military Experience

• At least 5 years of experience working in financial services

• At least 2 years of people management experience

Preferred Qualifications :

• 5+ years of experience in financial services consumer compliance testing, monitoring, or auditing

• 5+ years of people management experience

• Certified Regulatory Compliance Manager (CRCM) accreditation

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

Plano, TX: $138,100 - $157,700 for Compliance Testing Manager

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

Riverwoods, IL: $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 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 (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, 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.

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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).