Manager, Compliance Testing

About Capital One Canada.

For over 20 years weve been on a mission to change banking for good and build relationships by making credit accessible simple intuitive and rewarding. We want to help Canadians succeed with credit because we believe in people in our customers in our associates and in talent like you!

About the Team

Canada Compliance is a second line of defense function responsible for monitoring and assessing regulatory compliance risk for Capital One Bank (Canada Branch) in accordance with Capital Ones risk management framework. The Compliance Testing team conducts independent transaction and control reviews of business processes to ensure compliance with applicable Canadian laws and regulations.

About the Role

The Compliance Testing Manager will be responsible for supporting the execution and delivery of quality-results across all testing program deliverables and collaborating with an experienced and diverse group of business and risk professionals to ensure a well-managed testing engagement. The Manager will be accountable for the overall day-to-day management of testing deliverables.

Your Responsibilities:

• Demonstrate an understanding of business processes control frameworks and related regulatory and compliance standards

• Oversee and execute compliance transaction and controls testing in accordance with Compliance Management Program methodologies and processes to identify analyze document and report test results

• Provide thought leadership and guidance to team members in the design strategy and execution of compliance tests

• Collaborate with and lead discussions with business management on test results including issues and recommendations identified to ensure results are well-grounded

• Conduct management review of tester workpapers and results

• Manage test schedules to ensure all test results are completed within established timeframes and documented within systems of record

• Lead the annual test calendering process and provide solid recommendations for prioritized tests

• Establish and maintain strong relationships with Compliance Advisory Legal and the business

• Lead and drive the implementation of testing innovation capabilities for Canada Compliance

• Develop and enhance local testing processes by leveraging industry leading practices and regulatory expectations to drive improvements in Canadas testing programs and processes

• Participate in lead and/or execute other Compliance risk management initiatives for the team as assigned

• Prepare accurate and high-quality reports and briefing materials appropriate to a senior management audience

• Keep current on Compliance risk management trends best practices and guidelines issued by applicable regulatory bodies and the industry

The right candidate will have:

• A solid understanding of risk management and governance principles and familiarity with the processes and controls that govern these activities (i.e. three lines of defense model and risk framework principles)

• Possess an entrepreneurial mindset demonstrate curiosity and critical thinking; a proactive and outside-the-box thinker who can assess and adopt a risk-based approach in making recommendations to implement practical policies and procedures

• The ability to distill complex information into a clear and concise narrative

• Superior writing and editing skills with the ability to construct well-founded clear and concise analyses and recommendations

• The ability to organize prioritize and manage multiple projects and deliverables

• Solid analytical and investigative skills

• A proven track record in driving high quality and timely results

• The ability to work autonomously in a dynamically changing environment

• Demonstrated business maturity with the ability to effectively communicate and influence stakeholders within all levels of the organization establish and maintain positive relationships

• Solid interpersonal and conflict resolution skills

• Exercises strong judgment and knows when to escalate with appropriate stakeholders before issues arise

Basic Qualifications:

• Bachelors degree

• At least 5 years of experience working in a regulated Canadian financial services organization

• At least 5 years of experience working in risk management audit and/or compliance; 3 of which should be in a testing/audit capacity

• At least 2-3 years experience in people management

• Experience in preparing and writing business documents (i.e. presentations for leadership meetings or forums briefing memos and reports)

• Familiarity with applicable Canadian regulators (OSFI OPC FCAC) and regulations that apply to a credit card business

• Experience in process or project management

• Strong problem-solving and conceptual thinking skills

• Ability to work in a fast-paced work environment with an ability to influence others.

Preferred Qualifications:

• Relevant certification or accreditation in Compliance Risk Management Legal or other related fields

• Strong leadership skills and capabilities

• Familiarity of a credit card business practices and operations

• Working knowledge of cloud data structure (snowflake)

• Scripting experience in (Python SQL) and ability to understand test scripts for full population testing for key attributes

• Working knowledge of French language

Working at Capital One.

Enjoy a hybrid work environment with 3 days in the office. Build a comfortable workspace with our one-time Work From Home allowance and enjoy our head office located conveniently across the street from Union Station.

Live wellphysically financially and emotionally. Receive support for you and those who are most important to you with full coverage for spouses domestic partners and dependents. With up to $3000 in mental health coverage and up to $5000 in tuition subsidies per yearand much moreyoull discover that Capital One is committed to helping you live your best life.

We may use your information for automated decision making. We may for certain purposes render a decision based exclusively on automated processing of your personal information as a part of the candidate screening process.

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- 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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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).