Compliance Testing Director, Central Testing Oversight and Governance

West Creek 3 (12073), United States of America, Richmond, Virginia

At Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Compliance Testing Director, Central Testing Oversight and Governance

The Director of the Corporate Compliance Central Testing Oversight and Governance (CTOG) will direct an advanced level independent compliance testing and validation program and will be a key strategic leader in driving program innovation and enhancements. This includes maintaining and evolving all processes that support the program including: overseeing the preparation of the annual plan development; maintaining the methodology and related technology systems; preparation of reports to senior management, senior management committees, and the board of directors; ensuring program quality; developing and delivering training; and ensuring effective communication across the staff charged with overseeing and executing testing. This role will maintain all organizational and professional ethical standards, work independently under general supervision, and exercise initiative and independent judgment to drive program enhancements and innovations.

Responsibilities:

  • Develop and maintain a high performing team in multiple locations responsible for oversight and governance program;
  • Drive innovative change throughout the testing program by developing and implementing leading edge, transformative ideas for testing automation, data analysis, and visualization of risks and test results;
  • Manage the development and implementation of testing procedures, including (but not limited to): identifying documentation and testing standards, defining results criteria/classification and reporting templates, determining review and supervision requirements, setting the calendar change management and approval process, and ensuring a closed loop process for quality assurance for overall process improvement;
  • Liaise with testing team leads, who are responsible for independent second line test execution across the company - taking into consideration their feedback and suggestions on program operations and maintaining a productive working relationship;
  • Stay abreast of industry and regulatory trends;
  • Assess trends from quality assurance activities and provide coaching to test team leads or additional training as needed;
  • Interact with internal and external auditors and Corporate Compliance senior leaders;
  • Maintain organizational and professional ethical standards, while monitoring compliance with testing program procedures; and
  • Promote and foster an environment that adheres to our Corporate values.


Here's what we're looking for in an ideal associate:
  • You believe insight and objectivity are core elements to providing assurance on the effectiveness and efficiency of Capital One's governance, risk management, and internal control processes.
  • You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions, test assumptions, and challenge conventional thinking.
  • You have strong leadership presence and a proven record for leading through change.
  • You drive innovation into everything you do.
  • You develop influential relationships based upon trust and shared risk objectives to deliver outstanding business impact.
  • You're a firm believer that a rich understanding of data, innovation, and technical knowledge will only make Compliance better at independent challenge and second line validation. This will require leveraging the power of data analytics and furthering your technical know-how.
  • You're a teacher. You have a passion for coaching and investing in the betterment of your team.
  • You create energy and an environment that makes it easy to attract, hire, and retain top talent.
  • You have demonstrated the ability to employ judgment and experience to make rapid and complex decisions.
  • You have highly developed interpersonal, presentation, and communication skills (written and oral) and the ability to communicate at all levels of the organization.
  • You have demonstrated exceptional planning and execution skills.


Basic Qualifications:
  • Bachelor's Degree or Military Experience
  • At least 7 years of experience in regulatory compliance management or risk management
  • At least 3 years of experience in people management
  • At least 3 years of experience managing risk management or control programs


Preferred Qualifications:
  • Master's degree or Law degree
  • Previous experience in risk management testing at a large financial institution
  • Previous experience in a compliance risk governance role at a large financial institution
  • Certified Risk Professional or Certified Regulatory Compliance Manager certification
  • At least 10 years of experience in regulatory compliance management, risk management, or a related field


At this time, Capital One will not sponsor a new applicant for employment authorization for this position.


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