Kathy Flores

Kathy Flores

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location of Kathy FloresNew Orleans, Louisiana, United States

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  • Timeline

  • About me

    Compliance Testing Manager at Capital One

  • Education

    • Loyola University New Orleans

      1979 - 1981
    • The George Washington University - School of Business

      2011 - 2014
      Masters Certificate in Business Analysis Business Analysis
    • University of New Orleans

      1984 - 1985
      B.S. General Business

      Activities and Societies: Phi Chi Theta Business Sorority

  • Experience

    • Capital One

      Dec 1998 - now

       Senior-level project management role ~ guide Agile Project Technology Team to build & deliver new ease-of-use applications designed for broker/dealer institutional investments (pension / hedge / retirement funds, etc.). Accountable for project’s business aspects, including ensuring the right product is being built and in the right order.  Guide developers by explaining project vision & strategy. Simplify, prioritize, plan, measure, and execute details from development to delivery of complex IT products; identify & define specifications for current & future products. As software is produced, review & accept delivered functionality; organize, control and conduct user testing; compile user documentation and user training.  Balance competing priorities; remain readily available to the team; authorized as the product’s decision-maker.  Collaborate with multiple stakeholders, product managers & horizontal teams to prioritize & manage backlog issues.  Successfully delivered 3 significant projects to date: in-house developed Commissions and CRM Application for brokers / dealer line of business; end-to-end document imaging system. Recipient of “Tech Excellence Team Award” for Agile expertise, execution and delivery. Show less  Served in a technical product owner & Scrum Master’s role for several agile teams; directly supervised developers, software engineers, QA testers and onshore & offshore contractors through entire project delivery life cycle. Led medium & large projects for new innovations, process improvements, and regulatory compliance for Wealth & Asset Management & Capital Markets. Identified and managed each project’s strategic direction; worked with other groups to identify technical & functional system needs and determine priorities. Authority extended only to the process ~ as an expert on project development & progression ~ and used it to motivate team to perform at its highest level.  Ensured project and organization culture was optimized to achieve timely ROI project goals.  Facilitated planning discussions; organized review meetings to demonstrate newly-developed product functionality; conducted daily meetings to provide a “service” to the team and remove obstacles to progress. Delivered end-to-end document imaging solutions assuring regulatory compliance. Vastly improved portfolio analytics via creation of interface files with new portfolio management system conversion. Managed major platform upgrades and new portfolio management applications. Show less  Managed strategic planning of goals for department quality, production and services involving Deposit Operations (Branch Balancing, Adjustments, Research), Float Management, ATM & debit card/fraud processing, and Domestic Collections. Initiated American Banking Association (ABA) Fraud Roundtable. Brought major banks together to debate & influence best practices for debit card claims processing. Effectively transitioned Research and Adjustments teams to automated system, improving case resolution time by 40% and reducing staff accordingly. Oversaw the in-house development of an automated debit card/fraud processing system with document archive, greatly streamlining the process, improved customer experience and reduced operational charge-offs by 60%.  Reduced check clearing and transportation costs 35%. Successfully recovered areas of responsibility from Hurricanes Katrina and Rita. Led team through 10 mergers/acquisitions. Show less

      • Compliance Testing Manager

        May 2019 - now
      • Technical Product Owner

        Aug 2015 - Dec 2021
      • Senior IT Manager

        Mar 2011 - Aug 2018
      • Director, Transaction Services

        Dec 1998 - Feb 2011
  • Licenses & Certifications

    • General Securities Representative/Series 7

      Financial Industry Regulatory Authority (FINRA)
      Apr 2016
    • Certified Scrum Master

      Scrum Alliance
      Aug 2015
    • Certified Scrum Product Owner

      Scrum Alliance
      Oct 2015