Description
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.
The Compliance Testing Senior Manager will:
- 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 management experience or experience leading teams or projects.
Preferred Qualifications:
- Master's degree or Juris Doctorate degree.
- 6+ years of people management experience, including leading a multi-team organization.
- Extensive knowledge or experience with 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) or similar certification).
- Experiences engaging with analytics, products, and technology teams to lead intent.
- Experience scripting in Python and SQL (e.g., to test full populations for key attributes).
The minimum and maximum full-time annual salaries for this role are listed below, by location:
- Sales Territory: $161,500 - $184,300
- Jericho, NY: $193,800 - $221,200
- Chicago, IL: $161,500 - $184,300
- McLean, VA: $177,700 - $202,800
- Plano, TX: $161,500 - $184,300
- Richmond, VA: $161,500 - $184,300
This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives (LTI).