Compliance Testing Manager

Plano 2 (31062), United States of America, Plano, Texas

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 Manager

The Compliance Testing Manager performs a key second line of defense role, to help ensure the Enterprise Services Lines of Business are compliant with applicable laws and regulations. This is an exciting and dynamic space involving subjects ranging from innovative digital and technological products and services to investing in startup partnerships and managing third party relationships.

The 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
  • Navigating MS Office applications


Responsibilities:
  • Manage and develop a small team of Compliance Testers
  • 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 1 year of people management experience


Preferred Qualifications:
  • At least 5 years of experience working in financial services, specifically within Digital, Technology, or audit, or an analytical discipline
  • At least 2 years of people management experience
  • Experience with MS Office Suite
  • Certified Regulatory Compliance Manager (CRCM) accreditation


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


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