Principal Associate, Card Risk Compliance Controls Testing Team Lead

West Creek 1 (12071), 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.

Principal Associate, Card Risk Compliance Controls Testing Team Lead

The Card Risk Compliance Control Center (CCC) Non-Voice (NV) team is seeking a high performing team leader to lead the Design Effectiveness (DE) Testing team. The DE team is responsible for performing annual DE testing across Regulatory Compliance and Credit Policy controls within the US Card (Branded and Partnerships). We evaluate these controls to ensure that the US Card business teams, a.k.a., 1st Line execution and processes meet all the requirements and no laws, policies or regulations are being violated.

As the team lead for the DE testing team, you will balance your time between managing a team of up to 10 team members (a mixture of exempt and non-exempt), setting up and driving strategic direction for the team, leading conversation with internal and external partners (e.g., risk managers, compliance and credit policy advisor, business teams etc.), working on improvement projects, and managing processes. You will be responsible for using advanced reporting to ensure your team is productive and has quality results, measuring their performance against team goals and expectation. You will function as a coach, mentor, support personal and the leader for your team. You will also be the process owner for the L4 Design Effectiveness Testing process.


  • Demonstrate curiosity and aptitude to learn about the current regulatory environment and internal credit policies within US Card
  • Lead your team and foster an inclusive culture that enables the team to elevate each other
  • Setup the team strategic direction and lead the team towards the end state
  • Manage work within the team while working on multiple projects simultaneously
  • Handle multiple tasks independently to meet deadlines
  • Drive continuous team and process improvement to achieve breakthrough results
  • Meet with key stakeholders and business partners to share results, drive changes and gather requirements
  • Document processes and projects (creating reports, presentations, business cases, and diagrams)
  • Lead peers and set positive example by adhering to Card Talent Profile standards
  • Administrative tasks (responding to e-mails, phone calls, approving non-exempt time card, general inquiries etc.)

Basic Qualifications:
  • High School Diploma, GED, equivalent certification or military experience
  • At least 2 years of experience in People Management
  • At least 1 year of experience in Process Management or Project Management

Preferred Qualification
  • Bachelor's Degree
  • Lean, Agile, Six Sigma, SLQ2CQ, or Business Process Management (BPM) certification
  • Risk Certifications (CRCM, CAMS, CIPP, ABA Risk Management Certification)
  • 3 years of experience in People Management
  • 2 years of experience in Process Management
  • 1 year of experience in Risk Management

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

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