Compliance Testing Sr. Manager

About the role

The Compliance Testing Senior Manager is a key second line of defense role that leads a team of Compliance professionals in determining whether Capital One’s processes and transactions comply with regulatory requirements. This role requires the ability to lead teams to deliver high-value testing results, be a strategic thought leader and leverage technology to improve the depth and breadth of the testing program, exhibit a high level of judgment to understand risk and solve challenging problems, and exercise strong partnership and communication skills to engage and influence critical stakeholders. This position is ideal for someone with exceptional leadership skills, a deep expertise in compliance and business processes at a large financial institution, an ability to understand technological innovations, and a proven track record of driving strategic results.

Responsibilities

• Lead a multi-tiered Compliance Testing Team that focuses on testing across the Capital One Enterprise by piloting new testing methodologies and working with data teams to perfect new testing innovations.
• Assist with the development, management, and execution of the Compliance Testing calendars, data scripts, and methodologies.
• Align resources to ensure timely and accurate test execution.
• Ensure teams have tools, training, and access to information needed to effectively execute testing.
• Support strategic transformation to deepen the breadth of testing through technology solutions and reviewing the effectiveness of processes and tools.
• Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives.
• Establish and maintain strong relationships with Compliance Advisors, Test Leads, Data Teams, and Business Areas.
• Elevate substantive issues arising in testing to senior management.
• Communicate test results and changes in testing procedures or processes.
• Create and provide result reports to Accountable Executives, Senior Compliance Officers, and the CCO.
• Oversee and manage responses for testing-related audits or exams, as appropriate.

Basic Qualifications

• At least 6 years of experience at a financial institution in Compliance Testing, Risk Management, Compliance Monitoring, or Audit.
• At least 5 years of people