Capital One
Financial Services
ComplianceTestingManager
“Compliance Testing Manager at Capital One. Skills: Compliance Testing, People Management, Financial Services Compliance. Oversee transaction testing and control testing. Validate that processes and controls are designed effectively to mitigate risk”
What You'll Achieve.
Mitigate the risk of applicable requirements; Ensure processes and controls are operating as intended; Ensure testing results are executed timely, technically accurate, and reasonable; Ensure successful completion of calendar commitments; Ensure testing schedules are completed in appropriate timeframe; Ensure data is obtained following documented test plans and testing protocols; Determine adherence to test procedures
Industry & Context.
Demonstrating problem-solving and conceptual skills
Traveling to various Capital One locations if necessary
What They're Looking For.
Must Have
Bachelor's Degree or Military Experience, At least 5 years of experience working in financial services, At least 2 years of people management experience
Nice to Have
5 + years of experience in financial services consumer compliance testing, monitoring, or auditing, 5 + years of people management experience, Certified Regulatory Compliance Manager (CRCM) accreditation
What You'll Do.
Oversee transaction testing and control testing
Validate that processes and controls are designed effectively to mitigate risk
Perform quality assurance on testing executed by compliance Testers
Provide guidance on development of test plans
Communicate changes in testing procedure
Ensure testing results are executed timely
Review work of Testing Team
Coach and develop a high-performing team of Compliance Testers
Manage staffing assignments
Continually validate and improve test design
Evaluate the accuracy of tests executed by compliance testers
Manage to testing schedules
Identify the need for improved data sourcing
Partner with business and IT areas to develop improved data sources
Amend testing calendar as needed
Analyze and document work results
Establish and maintain relationships with Compliance Advisors and Business Areas
Engage with subject matter experts
Provide updates on testing status
Support ICTT and Compliance audit and exams
How You'll Work.
Team & Collaboration
Foster a collaborative environment for continuous improvement; Establish and maintain relationships with Compliance Advisors and Business Areas; Partner with business and IT areas to develop improved data sources; Engage with subject matter experts as needed
Communication Scope
Written communication skills; Verbal communication skills
Process & Methodology
Manage staffing assignments to ensure successful completion of calendar commitments, Manage to testing schedules to ensure they are completed in appropriate timeframe, Amend testing calendar as needed
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