Compliance Testing Senior Manager

Overview

Compliance Testing Senior Manager

The Compliance Department at Capital One is creating a dynamic and innovative work environment to enable associates to use their experience and expertise to drive important projects and high priority deliverables. Compliance continues to elevate its presence across Capital One by fostering an environment where collaboration, openness and ingenuity are valued. We obsess about doing the right thing and we believe that innovation is powered by the desire to deliver superior results.  We are an entrepreneurial team that embraces bold ideas and if you have the drive for building amazing customer experiences that are driven by data and insight, we want you! 

The Compliance Testing Senior Manager is a second line of defense role that leads a governance team to architect, automate, and scale a next-generation testing program. This leader will bridge traditional compliance testing and a cutting-edge testing approach using advanced technologies. This role requires the ability to lead teams to deliver high-impact results, be a strategic thought leader, exhibit a high level of judgment to understand risk and solve challenging problems, and exercise strong partnership and communication skills to engage and influence stakeholders. This position is ideal for someone with exceptional people leadership skills, who is comfortable with Gen AI, and has a proven track record of leading teams through change.

The Compliance Testing Senior Manager will - 

• Lead a team that focuses on oversight of the testing methodology, testing system of record, technical testing training, department and executive-level reporting, quality assurance, testing planning and calendaring processes

• Oversee the development, management, and execution of the testing innovation and governance strategic projects and scorecard processes

• Provide direction to management regarding alignment of resources to ensure timely and accurate execution. Ensure teams have tools, training, and access to information needed to effectively execute areas of responsibility

• Drive strategic transformation to deepen the breadth of testing through technology solutions and reviewing the effectiveness of processes, tools, and systems 

• Design and implement metrics that provide transparency and accountability on testing operations

• Drive methodology and reporting intents as a strategic leader with Risk Management tech, product, and analytics areas to transform transaction testing and control reviews

• Implement Gen AI controls, ensuring adherance to governance procedures and benchmarks

• Establish and maintain strong relationships with Compliance Testing Test Leads, Enterprise Risk Management Leads, and Independent Risk Management Leads

• Elevate substantive concerns arising in executing governance, oversight, and quality assurance activities to senior management

• Communicate activity outcomes with Accountable Executives, Senior Compliance Officers, and the Chief Compliance Officer

• 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, or 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

• 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

• An Artificial Intelligence Governance certification (AIGP) through the IAPP

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: $177,700 - $202,800 for Compliance Testing Sr. Manager

Plano, TX: $161,500 - $184,300 for Compliance Testing Sr. Manager

Richmond, VA: $161,500 - $184,300 for Compliance Testing Sr. 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 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 (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.

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).