Capital One Manager Compliance Second Line Testing – Auto Finance United States, Texas, Plano 104590163
The Compliance Testing Manager oversees transaction testing and control testing for the purpose of validating that processes and controls are designed effectively to sufficiently mitigate the risk of the applicable requirements and are operating as intended. The Compliance Testing Manager is responsible for performing quality assurance on testing executed by Compliance Testers.
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, 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
Navigating Google applications
Responsibilities:
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 to develop improved data sources
Manage data sourcing to ensure data is obtained following documented test plans and testing protocols
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 Expert (SME) as needed to determine adherence to test procedures
Provide updates on testing status as needed to Sr. Leadership in Compliance and the business
Become a SME for ICTT (Independent Compliance Transaction Testing) and Compliance Control Review (CCR)
Support Compliance Governance on audit and exams as needed
Basic Qualifications:
Bachelor’s Degree or Military Experience
At least 5 years of experience working in financial services, compliance, audit, or an analytical discipline
At least 1 year of people management experience
Preferred Qualifications:
6+ years of financial services consumer compliance monitoring experience, or 6+ years of auditing experience, or 6+ years of compliance testing experience, specifically within financial services
2+ years of people management experience
Certified Regulatory Compliance Manager (CRCM) accreditation
Build well-managed data solutions, tools, and capabilities to enable self-service frameworks testing
Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives
Partner with the testing team to provide consultancy and translate the testing needs to design and develop tools, techniques, metrics, and dashboards for insights and data visualization.
Evaluate data management, data quality and data access processes for gaps, inefficiencies and opportunities; provide recommendations for improvement
Drive an understanding and adherence to the principles of data quality management including metadata, lineage, and business definitions
Working knowledge of Excel for Analysts, SQL, Teradata and Redshift
Scripting experience in (Python, Perl, JavaScript, Shell)
. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
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 . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
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