• Senior Manager- Compliance Testing Jobs in United States Of America - 25732442

  • United States Of America, Usa
  • Save Job
  • 10 - 13 Years
  • Posted : 28 days ago

Job Description:

At Capital One, were building a leading information-based technology company Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking We measure our efforts by the success our customers enjoy and the advocacy they exhibit We are succeeding because they are succeeding

Guided by our shared values, we thrive in an environment where collaboration and openness are valued We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results We elevate each other and obsess about doing the right thing Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams Together, we are on a quest to change banking for good

Senior Manager- Compliance Testing

Summary The Corporate Functions Compliance Testing Senior Manager performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations The Corporate Functions Compliance Testing Senior Manager will be responsible for managing compliance testing efforts and contributing to the expansion of the Corporate Functions Compliance Testing (CFCT) program to ensure appropriate functional area and regulatory coverage The Corporate Functions Compliance Testing Senior Manager will support compliance testing teams by

Managing the testing process
Assisting in the development and management of the CFCT calendar
Ensuring timely and accurate test execution
Utilizing tools, training and data automation to execute testing effectively
Adhering to approved changes in testing procedure or processes


Design effective test plansalign with ICTT standards, effectively measure adherence to requirements, provide accurate coverage of in scope functions and requirements, and leverage data sources
Prepare for assigned tests by understanding regulatory requirements, functional area processes, systems, data sourcing, and recent/open events
Perform testing activities in alignment with team and ICTT methodology and procedures, leveraging automated tools and machine learning; obtain and analyze data from multiple sources and deliver accurate testing results on time per the approved calendar
Ensure test documentation is aligned with ICTT and other relevant standards and is audit/exam ready
Perform self-checks of work, and learn from QA findings to minimize repeated findings; remediate any QA issues completely and timely
Contribute to Monthly Test Result reports for distribution to Executive Committee Members, Senior Compliance Officers, the CCO and CRO
Manage testing assignments to successfully complete Calendar commitments; make suggestions for ad hoc testing given emerging risks
Assess existing ICTT testing process, standards and toolsmake recommendations for improvement and assist with development of CFCT specific standards
Make recommendations to continually validate and improve test coverage, design, data sourcing and automation, and testing process and tools
Drive improvements to ensure high quality testing activities, results, and compliance with the ICTT methodology
Maintain independence and promote rigor in the testing process
Establish and maintain strong relationships with Compliance Advisors and Corporate Function teams
Elevate substantive issues arising in testing to senior management
Support expansion of CFCT as designated by senior leadership
Support CFCT and Compliance audits and exams as needed

Professional Credentials and Education


Basic Qualification

Bachelors Degree or Military Experience
At least 10 years of financial services experience

Preferred Qualifications

Masters Degree
At least 8 years of financial services consumer compliance monitoring, auditing or regulatory examiner experience
Strong automation, technology, data analytics, machine learning, etc skills
CRCM, CAMS and/or CIPP certification, or willingness to pursue

At this time, Capital One will not sponsor a new applicant for employment authorization for this position

No agencies please Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law Capital One promotes a drug-free workplace Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York Citys Fair Chance Act; Philadelphias Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries

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 RecruitingAccommodationcapitalonecom All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations

For technical support or questions about Capital Ones recruiting process, please send an email to Careerscapitalonecom

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site

Capital One Financial is made up of several different entities Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp (COPSSC)

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Profile Summary:

Employment Type : Full Time
Eligibility : Any Graduate
Industry : Others - other Industry
Functional Area : IT Software : Software Products & Services
Role : Quality Assurance/Testing
Salary : As per Industry Standards
Deadline : 25th Jul 2020

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