Compliance Testing Manager Job at Capital One (Richmond)

Compliance Monitoring & Testing Manager

You’ll step into a once-in-a-career moment. As Vodafone and Three come together ...

Location

United Kingdom , Newbury; London; Glasgow

Salary:

Not provided

Vodafone

Expiration Date

Until further notice

Requirements

Demonstrable experience in compliance monitoring or second line assurance within telecommunications, financial services, or a similarly regulated environment
Strong understanding of UK regulatory frameworks, which may include areas such as consumer credit, insurance, financial crime, data protection, and telecoms regulation
Confident working with compliance governance, risk management, and control frameworks
Enjoy analysing information, joining the dots, and clearly explaining what it all means—both in writing and in conversation
Comfortable using data, technology, and AI enabled tools to enhance insight and decision making
Capabilities as a proactive problem solver, who anticipates challenges and acts early, rather than waiting for issues to escalate

Job Responsibility

Design and deliver smart, risk-based compliance monitoring and testing across key regulatory areas, aligned to the Annual Compliance Monitoring Plan
Independently assess whether our controls, processes, and customer journeys are delivering good customer outcomes—consistently and fairly
Dive deep into data, customer interactions, records, and operational practices to spot trends, risks, and opportunities for improvement
Use data analytics, AI, and emerging technologies to enhance how we monitor compliance and increase efficiency
Produce clear, high quality monitoring reports that balance risk, insight, and good practice, backed by robust evidence
Translate complex regulatory findings into practical, proportionate recommendations that genuinely strengthen our control environment
Confidently brief senior leaders, escalating issues where needed and supporting effective remediation
Build strong, trusted relationships across the business, influencing change and encouraging accountability

What we offer

Great pay, bonuses, up to 28 days off plus bank holidays, and paid time for charity work
Discounts, vouchers, a pension plan and loads more
Amazing learning tools and top-notch parental leave policies

Fulltime

Manager, LiDAR Testing and Automotive Compliance

As Manager, LiDAR Testing and Automotive Compliance, you will lead the developme...

Location

India , Bangalore

Salary:

Not provided

Aeva

Expiration Date

Until further notice

Requirements

BS in Computer Science, Electrical Engineering, or a related technical field
10+ years of experience in software testing, with at least 5+ years in a leadership role, preferably in the automotive industry
Strong proficiency in Python and C++ programming and relevant libraries/frameworks for test automation
Experience with continuous integration and deployment (CI/CD) practices, unit and integration testing, and version control
Previous experience in leading and managing teams, fostering collaboration, and driving results
Excellent problem-solving skills, with the ability to analyze complex technical issues and provide effective solutions
Strong communication and interpersonal skills, capable of working with cross-functional teams and stakeholders
Proven ability to work in a fast-paced and dynamic environment, managing multiple priorities and projects simultaneously

Job Responsibility

Define and own the firmware test strategy for automotive LiDAR products across development and production phases
Establish test coverage, KPIs, quality gates, and release criteria
Collaborate with Functional Safety, Systems, and Quality teams to address compliance gaps
Promote best practices in documentation, reviews, and technical excellence
Develop, implement, and optimize test strategies and plans for automotive software, including functional, regression, performance, diagnostic, and security testing
Maintain a detailed understanding of the automotive industry’s regulatory and safety standards (e.g., ISO 26262, AUTOSAR, ASPICE) and ensure the team is compliant
Act as the primary testing and compliance interface for customers, auditors, and suppliers
Collaborate with project managers to define project scopes, schedules, and resource allocations, ensuring timely and successful project deliveries
Provide technical leadership and mentorship to team members, fostering a collaborative and growth-oriented work environment

Program Manager, AV Compliance - Regulatory Response and Compliance Monitoring

Waymo is an autonomous driving technology company with the mission to be the wor...

Location

United States , San Francisco

Salary:

137000.00 - 169000.00 USD / Year

Waymo

Expiration Date

Until further notice

Requirements

Experience in Regulatory Compliance / Risk Frameworks: Demonstrated experience working with regulatory compliance or risk frameworks, with an understanding of how to interpret and apply regulations in a business context or how to make representations about business activities to a regulatory audience
Data Analysis Proficiency (Excel / Google Sheets): Ability to use basic data analysis tools (such as Excel or Google Sheets) to analyze datasets, identify trends, catalog discrepancies, and support compliance activities
Effective Collaboration: Proven ability to collaborate effectively with cross-functional partners to navigate challenging and ambiguous work streams in support of compliance objectives
Process Evaluation and Issue Spotting: Experience in evaluating the effectiveness of business processes, proactively identifying potential compliance gaps, risks, or areas of non-conformance
Process Improvement and Automation: Practical experience developing and implementing process improvements, such as through the design of automated monitoring or control systems to enhance compliance efficiency and effectiveness and through the use of artificial intelligence (AI) tools
Responsiveness and Agility: Demonstrated experience in handling multiple ongoing projects or deliverables and ability to remain responsive and flexible in a fast-moving environment with tight deadlines

Job Responsibility

Monitoring: Continuously track key metrics to gauge operational risk and effectiveness of AV compliance controls. This includes monitoring for new or changing Waymo, regulatory or internal business requirements
Assessment: Assist in the execution of periodic, risk-based assessments of internal compliance controls, focusing on testing the design and operating effectiveness of those controls
Regulatory Response: Lead or support the response to regulatory inquiries, investigations, and requests for information, including through drafting portions of external-facing reports and assisting in preparation for virtual presentations to regulators about sensitive events
Quality Assurance: Assist lines-of-business with designing effective compliance controls, including data quality assurance systems that mitigate risk of non-compliance through incomplete or inaccurate data
Partner with Compliance: Serve as a Subject Matter Expert (SME) for regulatory compliance requirements during third-party partner assurance activities

What we offer

discretionary annual bonus program
equity incentive plan
health and wellness
medical insurance
dental insurance
vision insurance
mental wellness support
gym membership
special wellness programs
financial wellness

Fulltime

Regulatory Compliance Manager US Antiboycott

Serves as a product compliance risk officer within Services Independent Complian...

Location

United States , Washington

Salary:

167920.00 - 251880.00 USD / Year

Citi

Expiration Date

July 12, 2026

Requirements

10+ years experience in a compliance, legal, or regulatory role focused on international trade compliance, sanctions, or anti-boycott regulations, preferably within a global financial institution or a regulatory body
Demonstrated deep subject matter expertise in US Anti-Boycott Laws preferred
Excellent written, verbal and analytical skills
Must be a self-starter, flexible, innovative and adaptive
Highly motivated, strong attention to detail, team oriented, organized
Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
Ability to work collaboratively with regional and global partners in other functional units
ability to navigate a complex organization
to influence and lead people across cultures at a senior level
Experience in managing regulatory exams and relationships with examiners, auditors, etc.

Job Responsibility

Develop, implement, and maintain internal strategies, policies, procedures, and training programs to ensure compliance with all applicable US Antiboycott requirements
Serve as a subject matter expert on US Antiboycott matters, providing real-time, advice and guidance to business units, product and function ICRM, and other stakeholders on the applicability and compliance with the US Antiboycott requirements
Analyzing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact
Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge
Participating in industry groups and trade association working groups or other forums
Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements
Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit
Designing and lead compliance and control reviews
Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance
Additional duties as assigned

What we offer

Discretionary and formulaic incentive and retention awards
Medical, dental & vision coverage
401(k)
Life, accident, and disability insurance
Wellness programs
Paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays

Fulltime

Assistant Manager - Compliance

This role forms part of Ogier's Global Risk and Compliance Team. The candidate w...

Location

British Virgin Islands

Salary:

Not provided

Ogier

Expiration Date

Until further notice

Requirements

At least four (4) years in a similar fiduciary services or professional services role and/or relevant industry compliance function
Thorough understanding of regulatory requirements affecting legal and trust company business in the British Virgin Islands and ability to apply this knowledge in practice
ICA/ACAMS or equivalent qualification preferred
Ability to maintain and develop a good relationship with stakeholders
Positive attitude and demonstrated ability to work effectively in a team
Excellent IT skills, including Microsoft Outlook, Excel and Word
Excellent written and verbal communication skills
Good analytical and organisational skills and ability to prioritise work load and meet tight deadlines
Ability to analyse and work with structured and unstructured data to accomplished a desired objective as well as identify data anomalies
Ability to make decisions and use own initiative within the scope of regulatory requirements, policy and procedures

Job Responsibility

Assist the Caribbean and Asian Compliance Teams with the day-to-day running of the Caribbean and Asia Compliance function
Assist in the implementation and analysis of jurisdictional policies, procedures, and processes, where necessary
Be up to date with regulatory issues relevant to Ogier, and able to identify potential threats of non-compliance and escalate as necessary
Periodically assist with the testing of internal policies as part of the Compliance Monitoring Program
Have a good working knowledge of the Risk and Compliance manual(s)
Assist with the delivery of appropriate training to all partners, directors and staff
Prepare Gap Analyses of legal and regulatory changes in the relevant jurisdiction as directed by the Compliance Manager and or Head of Caribbean and Asia Compliance
Assist with gathering data and preparing monthly and quarterly risk and compliance reports
Assist with complaints, breaches, errors and PI reporting and review process
Support Risk and Compliance Team projects as and when required whilst balancing support on complex jurisdictional cases raised to Compliance

Fulltime

Governance, Risk & Compliance Manager

This role is the owner of day‑to‑day governance, risk, compliance and business c...

Location

United Kingdom , Manchester

Salary:

Not provided

360 Resourcing Solutions

Expiration Date

Until further notice

Requirements

Hands‑on experience running risk management activity
Strong experience maintaining risk registers and reporting risk at senior level
Business continuity planning experience, including testing and exercises
Experience working across group or multi‑entity structures
Confidence working directly with senior leaders and boards
Ability to produce clear, credible written outputs

Job Responsibility

Owner of day‑to‑day governance, risk, compliance and business continuity across the group
Ensure risks are identified, documented, monitored, escalated and owned
Ensure governance and continuity arrangements work in practice
Run processes end to end, keep controls moving, and hold the business to account
Work confidently with senior leaders and boards

What we offer

Refer a friend for £1000 bonus which is unlimited
Generous holiday entitlement
Day off for your birthday
Staff Awards
Hotel and airline discounts
Employee Assistance Programme

It Sox Compliance Manager

As the IT SOX (Sarbanes-Oxley Act) Compliance Manager, you will step into a high...

Location

United States , McLean

Salary:

Not provided

Appian Corporation

Expiration Date

Until further notice

Requirements

5+ years of progressive experience in IT Audit, IT Compliance, or IT SOX, with significant exposure to public company environments
Deep understanding of SOX 404, PCAOB standards, the COSO framework, and best practices for IT control design, testing, and maintenance
Hands-on experience with core finance and operational processes, as well as exposure to ERP systems, subledgers, and workflow tools (e.g., NetSuite, Workday)
Proven ability to build relationships and influence senior leaders (such as the Controller and Head of Internal Audit) without direct authority
Exceptional communication skills, with a track record of translating complex technical control concepts into actionable guidance for non-technical stakeholders

Job Responsibility

Lead and Design: Oversee the annual IT SOX risk assessment, scoping, and materiality determinations, while leading the design, implementation, and monitoring of IT general controls (ITGCs) and IT application controls (ITACs)
Partner and Advise: Serve as a primary liaison with internal and external auditors, fostering alignment on testing strategies, walkthroughs, and evidence requests while acting as the strategic IT SOX advisor to FinOps and Business Technology teams
Modernize and Automate: Drive continuous improvement by identifying opportunities to streamline, standardize, and automate IT controls, continuous control monitoring, and data analytics
Maintain and Document: Own the upkeep and evolution of comprehensive control documentation, including process flowcharts and risk matrices, and facilitate key review procedures like user access reviews
Remediate and Improve: Drive the timely remediation of IT control deficiencies, partnering across the business to design and execute sustainable, long-term corrective actions

What we offer

health coverage
Employee Assistance Program (EAP) with free mental health support
life and disability insurance
Employee Stock Purchase Program (ESPP)
retirement/pension plan
wellness dollars
tuition reimbursement
family-forming benefits and more

Fulltime

Compliance Testing and Monitoring Officer

Summary: This role positions you as a critical line of defense in a major bankin...

Location

United States Of America , NEW YORK

Salary:

145000.00 - 160000.00 USD / Year

Crédit Agricole

Expiration Date

Until further notice

Requirements

At least 7 years' experience in the financial services industry with a focus on compliance
5 years of Audit or Compliance Testing experience required, with a focus on capital market
Good knowledge of risks and controls, including analyzing risks, identifying and documenting controls, and assessing control design and operating effectiveness
Strong knowledge of areas such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA, NFA, CFTC
General knowledge of one or more of other banking products/services and regulations preferred: Banking regulations, Business Conducts (Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.), Financial Crime (AML, Sanctions/OFAC), Other regulations (privacy, tax compliance, cybersecurity etc.)
Ability to manage multiple projects using technology and analytic techniques (advanced in excel) to work effectively and efficiently in a fast-paced environment
Strong attention to details and analytical skills
Ability to work with minimum supervisions and prioritize multiple tasks to focus on meeting the expected timelines
Good communication skills to be able to present clearly and concisely to all levels of stakeholders
Ability to engage with stakeholders and build rapport and partnership with stakeholders

Job Responsibility

Strategic Testing Leadership: Orchestrate high-impact compliance reviews across diverse banking operations, serving as the architect of the Annual Compliance Testing Plan. You'll design and execute sophisticated testing strategies that safeguard organizational integrity while enabling business growth
Craft Compelling Compliance Narratives: Transform complex regulatory findings into crystal-clear documentation that tells the story. Your work papers won't just meet third-party standards—they'll set the benchmark for clarity, thoroughness, and professional excellence that auditors and regulators applaud
Detective Work That Drives Change: Uncover hidden risks and decode the 'why' behind compliance gaps. You're not just identifying issues—you're the investigative force that traces problems to their source and architects innovative solutions that strengthen the entire organization
Command the Boardroom: Present your findings to the people who matter most: Department Heads, the Chief Compliance Officer, and the Executive Committee. Your insights shape strategy, influence policy, and drive decision-making at the highest organizational levels
Author Reports That Move Mountains: Draft executive-level reports that don't just inform—they inspire action. Your communications bridge the gap between technical compliance and business strategy, making complex regulatory matters accessible and actionable for senior leadership
Own the Accountability Engine: Be the driving force ensuring nothing falls through the cracks. Track issues from discovery to resolution, holding action owners accountable and maintaining the momentum that turns findings into fixed processes
Validate Victory: Close the loop with authority. Verify remediation effectiveness, document successful closures, and provide the validation memos that give leadership confidence in the organization's compliance posture
Monitor What Matters: Execute strategic monitoring activities that keep the organization ahead of regulatory curves. Your proactive surveillance identifies emerging risks before they become problems, positioning the bank as a compliance leader rather than a follower
Empowered: Every testing review you conduct, every report you author, and every issue you resolve strengthens the organization's reputation, protects its assets, and advances your career as a trusted compliance authority
Be the Intelligence Hub: Serve as the vital communication nexus between frontline execution and executive leadership. Your proactive status updates don't just report progress—they provide strategic visibility that enables leadership to make informed decisions, allocate resources effectively, and maintain organizational agility in a dynamic regulatory environment

Fulltime

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Compliance Testing Manager

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