Capital One
Finance
ComplianceTestingManager
Neural analysis suggests this role is
optimal for Mid candidates.
“Compliance Testing Manager at Capital One. Skills: compliance testing, risk management, regulatory requirements. performing quality assurance on risk-based compliance transaction testing. ensuring validation processes remain rigorous and effective”
What You'll Achieve.
ensure regulatory requirements are met across the enterprise and applicable lines of business; ensuring our validation processes remain rigorous and effective; draw essential conclusions that protect both our customers and the integrity of our brand; ensuring that as Capital One innovates, we do so responsibly
Industry & Context.
problem-solving; conceptual; analysis
What They're Looking For.
Must Have
Bachelor's degree, At least 5 years of compliance testing, legal, audit, risk management or Fraud investigation experience., At least 2 years of experience interacting with senior management or business partners.
Nice to Have
6 + years of compliance testing, legal, audit, risk management or Fraud investigation experience., 2 + years of experience with people management or leading complex testing programs., Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsible to dynamic situations., 2 + years of experience analyzing data from various sources and making actionable recommendations., Strong working knowledge of consumer privacy laws, Active professional certification, such as Association of Certified Anti-MoneyLending Specialists (ACAMS), Certified Fraud Examiner (CFE), Certified Financial Crime Specialists (CFCS), Certified Regulatory Compliance Manager (CRCM), Certified Information Privacy Professional (CIPP), or an Artificial Intelligence Governance certification (AIGP).
What You'll Do.
performing quality assurance on risk-based compliance transaction testing
ensuring validation processes remain rigorous and effective
or mentor a team of compliance testers or lead complex cross-functional testing initiatives.
Manage staffing and project assignments to ensure successful completion of calendar commitments.
Provide guidance on the development of test plans
identify high risk areas to target
and continually validate and improve test design.
Evaluate the accuracy of tests executed by compliance testers and adherence to processes and procedures.
Ensure that testing results are executed timely
Manage testing schedules to ensure they are completed in the appropriate timeframe
communicating any schedule or procedural changes.
Analyze and document work results and amend the testing calendar as needed.
Identify opportunities to improve testing with current technologies
such as approved AI and Machine Learning tools.
Manage data sourcing to ensure data is obtained following documented test plans and testing protocols.
Establish and maintain relationships with compliance advisors and business areas.
Engage with subject matter experts as needed to determine adherence to test procedures and provide updates on testing status.
Support Independent Compliance Transaction Testing (ICTT) and Compliance audits and exams as needed.
Review the work of the testing team
How You'll Work.
Team & Collaboration
Establish and maintain relationships with compliance advisors and business areas.; Engage with subject matter experts as needed to determine adherence to test procedures and provide updates on testing status.; Support Independent Compliance Transaction Testing (ICTT) and Compliance audits and exams as needed.
Communication Scope
excellent verbal and written communication skills; written and verbal communication skills
Process & Methodology
Manage staffing and project assignments to ensure successful completion of calendar commitments., Manage testing schedules to ensure they are completed in the appropriate timeframe, communicating any schedule or procedural changes., Analyze and document work results and amend the testing calendar as needed., leading complex testing programs
Full Job Description
Compliance Testing Manager **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. As a leader in this space, you will be responsible for performing quality assurance on risk-based compliance transaction testing executed by compliance testers, ensuring our validation processes remain rigorous and effective.** **Whether you are managing a dedicated team or operating as a high-level individual contributor leading complex testing initiatives, you will demonstrate strong problem-solving, conceptual, and negotiation skills. You will draw essential conclusions that protect both our customers and the integrity of our brand, ensuring that as Capital One innovates, we do so responsibly. A successful candidate enjoys developing a deep understanding of regulatory requirements and drawing conclusions based on critical thinking, judgement, and analysis. In addition, this role requires high attention to detail and excellent verbal and written communication skills.** ****Your Key Responsibilities:**** * ****Lead & Mentor:** Manage, develop, or mentor a team of compliance testers or lead complex cross-functional testing initiatives. Manage staffing and project assignments to ensure successful completion of calendar commitments.** * ****Test Design & Validation:** Provide guidance on the development of test plans, identify high risk areas to target, and continually validate and improve test design. Evaluate the accuracy of tests executed by compliance testers and adherence to processes and procedures.** * ****Maintain Operational Rigor:** Ensure that testing results are executed timely, technically accurate, and reasonable. Manage testing schedules to ensure they are completed in the appropriate timeframe, communicating any schedule or procedural changes. Analyze and document work results and amend the testing calendar as needed.** * ****Innovate:** Identify opp
Applying for this Compliance Testing Manager role?
Most applicants get filtered before a human reads their resume. See if yours makes the cut.
How to Apply on Workday
- Workday has a multi-step form — save your progress after every section.
- "Apply With LinkedIn" can fail or lose data; manual entry is more reliable.
- Watch for the "Submit for Review" final step — hitting "Save" alone does not submit.
- Job requisition numbers are useful when following up with HR by email.
ANONYMOUS · UNFILTERED
What do employees actually say about Capital One?
Real rants from real employees. Read before you apply.