Manager, Compliance Testing

161 Bay Street (93021), Canada, Toronto,Toronto, Ontario,

Manager, Compliance Testing

**About Capital One Canada.**

For over 20 years, we’ve 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 One’s 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 Canada’s 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
- 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**:

- Bachelor’s 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)
- 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 an