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Capital One Senior Manager - Anti-Money Laundering Compliance Controls Review Testing United States, Virginia, Arlington 770012729
The Compliance Testing Senior Manager performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with Anti-Money Laundering and Sanctions regulations. The Compliance Testing Senior Manager will be responsible for overseeing the AML Controls & Monitoring (ACM) team and performing quality assurance on testing executed. This role is an extremely collaborative role, which requires interactions with stakeholders and accountable executives across the AML program and first line of defense functions.
The Compliance Testing Senior Manager will support the program by:
Leading the development, management, and execution of the AML Compliance Controls Review (CCR) calendar
Manage review of regulatory requirements & control coverage
Providing thought leadership in second line of defense risk identification processes
Aligning resources to ensure timely and accurate test execution
Ensuring teams have tools, training and access to information needed to execute testing effectively
Communicating changes in testing procedure or processes with senior management and testing team
Performing management review and challenges for completed tests
Responsibilities:
Drive strategic initiatives to modernize AML and sanctions control testing, strengthen assurance and streamline processes
Ensure compliance and risk management testing processes are executed in accordance with relevant procedures & expectations
Manage and develop team of Compliance testers
Manage staffing assignments to ensure successful completion of calendar commitments
Review effectiveness of testing process and tools; drive improvements through influencing partners to ensure high quality testing activities, results, and compliance with the CCR methodology
Provide training and education to peers and team on CCR methodology, processes and tools
Establish and maintain strong relationships with Compliance Advisors, risk management, compliance testing oversight group, and relevant business areas across first and second line functions
Create test result reports for AML executives, senior compliance officers, and provide inputs to CCO and CRO reporting
Coordinate with AML ICTT team to ensure proper compliance control coverage
Elevate substantive issues arising in testing to senior management
Oversee and manage responses for business area audits or exams, as appropriate
Basic Qualifications:
Bachelor's Degree or military experience
At least 5 years of experience in audit, or 5 years of experience in compliance, or a combination
At least 5 years of experience with Microsoft Office Suite or Google Suite
At least 3 years of people management experience
Preferred Qualifications:
Master’s degree
7+ years of financial services compliance monitoring experience, or auditing experience, or compliance testing experience
5+ years of people management experience
Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), Certified Information Privacy Professional (CIPP) or willingness to pursue
Understanding of data analytics tools and concepts
. 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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