Compliance Testing Manager

Overview

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. 

Your Key Responsibilities:

• 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.

Basic Qualifications:

• 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.

Preferred Qualifications:

• 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.

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

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

Wilmington, DE: $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).