Central Testing Oversight & Governance Director – Compliance

  • Company: Capital One
  • Location: Richmond, Virginia
  • Posted: January 25, 2017
  • Reference ID: R18286
West Creek 3 (12073), United States of America, Richmond, Virginia

Central Testing Oversight & Governance Director – Compliance

Title:  Central Testing Oversight & Governance Director – Compliance

Level:  Director

Job Description:

This Director of the Corporate Compliance Central Testing Oversight and Governance (CTOG) will direct an advanced level independent compliance testing and validation program. This will include managing the Independent Compliance Transaction Testing (ICTT) program and the Applicability and Control Review (ACR) program.  This includes maintaining all processes that support these programs including overseeing the preparation of the annual plan development; maintaining the methodology and related technology systems; preparation of reports to senior management, senior management committees, and the board of directors; ensuring program quality; developing and delivering training; and ensuring effective communication across the broader program of over 100 associates. You will maintain all organizational and professional ethical standards, work independently under general supervision and exercise some latitude for initiative and independent judgment.


-Develop and maintain a high performing team in multiple locations responsible for oversight and governance program;

-Liaise with line of business test leads, who are responsible for independent test execution across the company, taking into consideration their feedback and suggestions on program operations and maintain a productive working relationship;

- Manage the implementation of testing procedures, including (but not limited to) identifying documentation and testing standards, defining finding criteria and reporting templates, determining review and supervision requirements, setting the calendar change management and approval process, and ensuring a closed loop process for quality assurance for overall process improvement;

-Explore and implement leading edge, innovative ideas for testing automation, data analysis, and visualization of risks and test results;

-Stay abreast of industry and regulatory trends;

-Assess trends from quality assurance activities and providing coaching to test leads as needed;

-Interact with internal and external auditors, Corporate Compliance senior leaders

-Maintain organizational and professional ethical standards, while monitoring compliance with ICTT procedures; and

-Promote and foster an environment that adheres to our Corporate values

Here's what we're looking for in an ideal associate:

  • You believe insight and objectivity are core elements to providing assurance on the effectiveness and efficiency of Capital One’s governance, risk management, and internal control processes.
  • You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions, test assumptions, and challenge conventional thinking.
  • You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact.
  • You’re a firm believer that a rich understanding of data, innovation, and technical knowledge will only make Compliance better at independent challenge and second line validation. This will require leveraging the power of data analytics and furthering your technical know-how, so you’ll want to ensure that technology doesn’t scare you off.
  • You're a teacher. You have a passion for coaching and investing in the betterment of your team.
  • Lastly, you create energy and an environment that make it easy to attract, hire, and retain top talent.
  • Strong leadership presence and ability to lead change
  • Demonstrated ability to employ judgment and experience to make rapid and complex decisions
  • Highly developed interpersonal, presentation, and communications skills (written and oral) and the ability to communicate at all levels of the organization
  • Exceptional planning and execution skills
  • Prior Audit or Regulatory Agency Experience

As one of the “100 Best Companies to Work For,” you can look forward to coming to work every day with a team of people that are committed to excellence and doing the right thing.

Basic Qualifications:

  • Bachelor’s Degree or Military experience
  • At least 8 years of monitoring, or at least 8 years if auditing, or at least 8 years of examination experience
  • At least 2 years of experience in banking or at least 2 years in the financial services industry

Preferred Qualifications:

  • 4 years of experience in banking of the financial services industry
  • 1 years of experience with data analytics tools in support of internal audit
  • Proficiency in consumer regulatory compliance and proficiency in commercial regulatory compliance within financial services
  • CRCM, or CPA, or CIA, or CAMS Certification

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

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