The 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. The Compliance Testing Manager will be responsible for performing quality assurance on testing executed by compliance testers.

The Compliance Testing Manager will support 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, appropriately socialized with key stakeholders 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
   

Responsibilities will include (but may not be limited to):

• Manage and develop 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

• Assist with helping to drive innovative ways to approach testing

• 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 compliance testing, compliance, legal, audit, risk management, AML or Fraud investigation experience 

• At least 2 years of people management experience

Preferred Qualifications:

• 6+ years of compliance testing, compliance, legal, audit, risk management, AML or Fraud investigation experience 

• 3+ years of people management experience

• Strong working knowledge of Suspicious Activity Report (SAR), Currency Transaction Report (CTR), and/or Suspicious Transaction Reports (STRs) filing requirements

• Strong working knowledge of both US and Canadian laws and regulations as they relate to AML and Sanctions. 

• Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsible to dynamic situations

• Association of Certified Anti-Money Laundering Specialists (ACAMS), Certified Fraud Examiner (CFE),  Certified Financial Crime Specialists (CFCS) or Certified Regulatory Compliance Manager (CRCM) certification.

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

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

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