Compliance Testing Manager

Performs a key second line of defense role to help ensure regulatory requirements are met across the enterprise and applicable lines of business. As a leader in this space, you will perform quality assurance on risk-based compliance transaction testing executed by compliance testers, ensuring validation processes remain rigorous and effective. Whether managing a dedicated team or operating as a high-level individual contributor leading complex testing initiatives, you will demonstrate strong problem-solving, conceptual, and negotiation skills. Draw essential conclusions that protect both customers and the integrity of the brand, ensuring responsible innovation.

Responsibilities

• Lead & Mentor: Manage, develop, or mentor a team of compliance testers or lead complex cross-functional testing initiatives. Oversee staffing and project assignments to ensure successful completion of calendar commitments.
• Test Design & Validation: Provide guidance on the development of test plans, identify high-risk areas to target, and continually validate and improve test design. Evaluate the accuracy of tests executed by compliance testers and adherence to processes and procedures.
• Maintain Operational Rigor: Ensure testing results are executed timely, technically accurate, and reasonable. Manage testing schedules to meet deadlines, communicate schedule or procedural changes, and analyze and document work results. Amend the testing calendar as needed.
• Innovate: Identify opportunities to improve testing with current technologies, such as approved AI and Machine Learning tools. Manage data sourcing to ensure data is obtained following documented test plans and testing protocols.
• Collaborate & Communicate: Establish and maintain strong relationships with compliance advisors and business areas. Engage with subject matter experts to determine adherence to test procedures and provide updates on testing status.
• Oversight Support: Support Independent Compliance Transaction Testing (ICTT) and Compliance audits and exams as needed. Review the work of the testing team and demonstrate strong written and verbal communication skills.

Requirements

• Bachelor’s degree.
• At least 5 years of compliance testing, legal, audit, risk management, or fraud investigation experience.
• At least 2 years of experience interacting with senior management or business partners.

Preferred Qualifications

• 6+ years of compliance testing, legal, audit, risk management, or fraud investigation experience.
• 2+ years of experience with people management or leading complex testing programs.
• Ability to prioritize among conflicting needs and advocate a course of action while remaining flexible and adaptable to dynamic situations.
• 2+ years of experience analyzing data from various sources and making actionable recommendations.
• Strong working knowledge of consumer privacy laws.
• Active professional certification, such as ACAMS, CFE, CFCS, CRCM, CIPP, or AIGP.

Pay

The minimum and maximum full-time annual salaries for this role are listed below by location. Salaries for part-time roles will be prorated based on agreed-upon hours. Incentives may include performance-based cash bonuses and/or long-term incentives (LTI), which could be discretionary or non-discretionary depending on the plan.

• McLean, VA: $151,900 - $173,400
• Richmond, VA: $138,100 - $157,700
• Wilmington, DE: $138,100 - $157,700

Candidates hired to work in other locations will be subject to the pay range associated with that location.

Benefits

Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits that support total well-being. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. Learn more.