Corporate Functions Compliance Testing Senior Manager

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.

Corporate Functions Compliance Testing Senior Manager

Summary: The Corporate Functions Compliance Testing Senior Manager performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Corporate Functions Compliance Testing Senior Manager will be responsible for managing compliance testing efforts and contributing to the expansion of the Corporate Functions Compliance Testing (CFCT) program to ensure appropriate functional area and regulatory coverage. The Corporate Functions Compliance Testing Senior Manager will support compliance testing teams by:

  • Managing the testing process
  • Assisting in the development and management of the CFCT calendar
  • Ensuring timely and accurate test execution
  • Utilizing tools, training and data automation to execute testing effectively
  • Adhering to approved changes in testing procedure or processes


Responsibilities:
  • Design effective test plans-align with ICTT standards, effectively measure adherence to requirements, provide accurate coverage of in scope functions and requirements, and leverage data sources
  • Prepare for assigned tests by understanding regulatory requirements, functional area processes, systems, data sourcing, and recent/open events
  • Perform testing activities in alignment with team and ICTT methodology and procedures, leveraging automated tools and machine learning; obtain and analyze data from multiple sources and deliver accurate testing results on time per the approved calendar
  • Ensure test documentation is aligned with ICTT and other relevant standards and is audit/exam ready
  • Perform self-checks of work, and learn from QA findings to minimize repeated findings; remediate any QA issues completely and timely
  • Contribute to Monthly Test Result reports for distribution to Executive Committee Members, Senior Compliance Officers, the CCO and CRO
  • Manage testing assignments to successfully complete Calendar commitments; make suggestions for ad hoc testing given emerging risks
  • Assess existing ICTT testing process, standards and tools-make recommendations for improvement and assist with development of CFCT specific standards
  • Make recommendations to continually validate and improve test coverage, design, data sourcing and automation, and testing process and tools
  • Drive improvements to ensure high quality testing activities, results, and compliance with the ICTT methodology
  • Maintain independence and promote rigor in the testing process
  • Establish and maintain strong relationships with Compliance Advisors and Corporate Function teams
  • Elevate substantive issues arising in testing to senior management
  • Support expansion of CFCT as designated by senior leadership
  • Support CFCT and Compliance audits and exams as needed


Professional Credentials and Education:

CREDENTIALS

Basic Qualification:
  • At least 5 years of financial services experience
  • Bachelor's Degree or Military Experience

Preferred Qualifications
  • Master's Degree
  • At least 2 years of financial services consumer compliance monitoring, auditing or regulatory examiner experience
  • Strong automation, technology, data analytics, machine learning, etc. skills
  • CRCM, CAMS and/or CIPP certification, or willingness to pursue


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


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