
Kathy Flores

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About me
Compliance Testing Manager at Capital One
Education

Loyola University New Orleans
1979 - 1981
The George Washington University - School of Business
2011 - 2014Masters Certificate in Business Analysis Business Analysis
University of New Orleans
1984 - 1985B.S. General BusinessActivities 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 - nowTechnical Product Owner
Aug 2015 - Dec 2021Senior IT Manager
Mar 2011 - Aug 2018Director, Transaction Services
Dec 1998 - Feb 2011
Licenses & Certifications
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General Securities Representative/Series 7
Financial Industry Regulatory Authority (FINRA)Apr 2016
Certified Scrum Master
Scrum AllianceAug 2015
Certified Scrum Product Owner
Scrum AllianceOct 2015
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