Compliance Testing Manager - US Card

Capital One • Richmond, VA

7d • Onsite

About The Position

The Compliance Testing Manager is a key second line of defense role that leads a team of Compliance professionals in determining whether Capital One’s US Card 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.

Requirements

• Bachelor's Degree or military experience
• At least 4 years of experience in Compliance Testing, Risk Management, Compliance Monitoring, or Audit
• At least 4 years of people management experience or experience leading teams or projects.
• At least 1 year of cloud data structure, data analytics, and Artificial Intelligence experience

Nice To Haves

• Master’s degree or Juris Doctorate degree
• 5+ years experience at a financial institution in Compliance Testing, Risk Management, Compliance Monitoring, or Audit
• 5+ 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
• Experience scripting in Python and SQL (e.g. to test full populations for key attributes)

Responsibilities

• Lead a multi-tiered Compliance Testing Team that focuses on two types of testing in US Card, Business Card and Payment, and Premium Product and Experience lines of business.
• The two test types are: (1) Rapid Response Testing which strategically focuses on emerging risks, new products and processes and other high priority areas and (2) Compliance Control Reviews which assess the design and operating effectiveness of the first line of defense controls.
• Assist with 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.
• Support strategic transformation to deepen the breadth of testing through technology solutions and reviewing the effectiveness of processes and tools
• Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives,
• 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

Benefits

• performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
• comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being

What This Job Offers

• Job Type: Full-time
• Career Level: Manager