Director, Regulatory Compliance Testing

Plano 5 (31065), United States of America, Plano, Texas
Director, Regulatory Compliance Testing
The Auto Finance and Fair & Responsible Banking (F&RB)Testing Director 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 Director is responsible for assuring testing is performed with high quality that is executed by compliance testers.
Responsibilities:

• Manage staffing assignments to ensure successful completion of calendar commitments
• Develop and sustain an evolving risk based approach to optimize testing coverage and review of high/emerging risks.
• Invest in associate development to ensure high quality results, an environment where innovation is fostered, advancement of skills and maintenance of a positive and productive work environment
• Lead the annual calendar planning for compliance testing for the Auto division and Fair and Responsible Banking requirements
• Sustain a cadence of continuous improvement, and develop plans to implement enhancements
• Review the work product of the team for accuracy, completeness and ensuring correct framing of risks.
• Formally document and present results from compliance testing to senior management and executives
• Establish and maintain strong relationships with compliance and business partners at all levels
• Provide support to audit and exams as needed
• Consistently demonstrate strong problem solving, conceptual, writing, verbal, negotiation and leadership skills

Basic Qualifications:

• Bachelor's Degree or military Experience
• At least 7 years of experience working in financial services in risk, compliance, audit or legal
• At least 3 year of people management experience

Preferred Qualifications:

• M aster's degree or Juris Doctorate
• At least 10 years of experience working in financial services within compliance, audit, or an analytical discipline
• At least 10 years of experience in risk management, compliance, compliance testing, audit or a combination
• At least 5 years of financial services consumer compliance monitoring experience
• At least 5 years of people management experience
• Certified Regulatory Compliance Manager (CRCM) accreditation
• 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

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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 City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
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