Manager, Compliance Second Line Testing – Auto Finance

The Compliance Testing Manager performs a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable regulations including but not limited to Fair Credit Reporting Act (FCRA) Fair Debt Collection Practices Act (FDCPA) Reg B - Equal Credit Opportunity Act (ECOA) Regulation Z - Truth in Saving US - FFIEC - Uniform Retail Credit Classification and Account Management (URCCAM) and US - Regulation E - Electronic Fund Transfer Act (EFTA).

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:

• Bachelors 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)

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

The minimum and maximum full-time annual salaries for this role are listed below by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Candidates hired to work in other locations will be subject to the pay range associated with that location and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidates offer letter.

Capital One offers a comprehensive competitive and inclusive set of health financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status exempt or non-exempt status and management level.

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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).