Senior Director, Compliance Test Lead for Commercial Banking, Corporate Functions and Anti-Money Laundering
Capital OneAbout the role
The Compliance Testing Senior Director oversees transaction testing and control testing for Capital One’s Commercial Bank, Corporate Functions and Capital One’s horizontal Anti-Money Laundering Program for the purpose of validating that processes and controls are designed effectively to reasonably mitigate the risk of non-adherence applicable requirements and are operating as intended. The Compliance Testing Senior Director is responsible for close coordination with the Compliance Governance team on setting the strategy and execution of the Re-Imagine Testing Program that focuses on expansion of new technology (e.g., machine learning, natural language processing, etc.) and new testing techniques to advance the effectiveness of compliance assurance function.
Responsibilities:
Manage a team of ~28 testers to ensure successful completion of testing calendar commitments
Develop and sustain an evolving risk based approach to optimize testing coverage and review of high and emerging risks
Lead the annual calendar planning for compliance testing for Commercial Banking (includes commercial lending, treasury management, institutional broker-dealers and CFTC swap dealer), Corporate Functions (e.g., Human Resources, Finance-Corporate Treasury) and AML Program (1st and 2nd line of defense activities) and adherence to applicable rules and regulations
Sustain a cadence of continuous improvement, and develop plans to implement enhancements to the testing program leveraging technology and data in close coordination with the central Compliance Governance team and Technology and Data team
Review the work product of the team for accuracy, completeness and ensuring correct framing of risks
Engage and drive discussion with stakeholders to exercise credible challenge
Liaise and build a strong relationship with key stakeholders (e.g., Business, Compliance, Tech, Audit) across the Firm
Formally document and present results from compliance testing to senior management committees, executives and regulators (e.g., Federal Reserve, OCC)
Provide support to Audit and on regulatory exams as needed
Consistently demonstrate strong verbal and written communication skills, problem solving, influencing and leadership skills
Invest in associate development to ensure high quality results, an environment where innovation and collaboration is fostered, advancement of skills and maintenance of a positive and productive work environment
Recruit and develop talented testing professionals to support the program
Basic Qualifications:
Bachelor’s Degree or military experience
At least 10 years of risk, compliance, audit or legal experience within the financial services industry
At least 8 years of experience supporting, partnering, and interacting with internal business clients
At least 5 years of people management experience
At least 5 years of analytical experience within the financial services industry
Preferred Qualifications:
Master's degree
10+ years of US broker-dealer, swap dealer and/or financial crimes experience in a testing or audit function within commercial and/or retail banking
Certified Risk Professional, Certified Regulatory Compliance Manager certification, or Certified Internal Auditor, or equivalent
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.
McLean, VA: $234,000 - $267,100 for Sr. Director, Compliance
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