West Creek 3 (12073), United States of America, Richmond, Virginia
Compliance Testing Sr. Manager
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 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 exhibit 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, and a proven track record of driving strategic results.
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The Compliance Testing Senior Manager will -
- Lead a multi-tiered Compliance Testing Team that focuses on testing Privacy, Enterprise Services, and Community Reinvestment Act controls and Capital One third parties
- Lead the development, management, and execution of the Compliance Testing Calendar
- Align resources to ensure timely and accurate test execution. Ensure teams have tools, training, and access to information needed to effectively execute testing.
- Drive strategic transformation to deepen the breadth of testing through technology solutions and reviewing the effectiveness of processes and tools
- Establish and maintain strong relationships with Compliance Advisors 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:
- Bachelor's Degree or military experience
- At least 3 years in Compliance Testing, Risk Management, Compliance Monitoring, or Audit
- At least 3 years of people management experience
- At least 1 year of experience with Microsoft Office Suite and Google Suite
Preferred Qualifications:
- Master's degree or Juris Doctorate degree
- 5+ years experience at a financial institution in Compliance Testing, Risk Management, Compliance Monitoring, or Audit
- 5+ years of people management experience, including leading a multi-team organization
- Extensive knowledge or experience with Privacy-related regulations, consumer regulations, and related business processes
- Superb verbal and written communication skills, with the demonstrated ability to communicate complex analysis in a clear and concise manner and create senior level reports
- Compliance related certifications (Certified Regulatory Compliance Manager (CRCM), Certified Information Privacy Professional (CIPP))
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.
This role is expected to accept applications for a minimum of 5 business days.
No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com
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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).