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Compliance Advisor Sr. Manager
4 months ago
Compliance Advisor Sr. Manager - Auto Finance
Capital One is looking for a Senior Manager Compliance Advisor to support Auto Finance in Plano. The Compliance Advisor Senior Manager performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. While working within the Compliance Management Program framework, the Compliance Advisor Senior Manager is responsible for delivering quality results, providing compliance advice to lines of business as a subject matter expert, and executing or participating in corporate processes. Effective and efficient processes are critical to identifying and managing compliance risk, and meeting customer and regulator expectations.
Responsibilities:
Advise lines of business on application of compliance requirements, such as: new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and change in law or regulationAdvise the first line of defense on multiple consumer facing products and is responsible for identifying cross-product risksAnalyze information to proactively identify risks, trends, and process improvements; supports reporting on risk topics to managementIdentify trends in data and proactively advise on identified external and internal risksStay current on the changing regulatory landscape and understanding the impacts to your businessAssist and drive local governance program delivery, including process management, reporting, engagement in senior leadership meetings, drafting and reviewing materials for senior management and the Board of Directors, and other governance activitiesEvaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impactsParticipate in compliance forums and contributing to continuous improvement of local governance risk management processesEnhance risk management processes across Financial Services Compliance by providing thought leadership, oversight, and coordination with other risk management activities across the companyDevelop and lead department training, as appropriate
Basic Qualifications:
Bachelor's Degree or military experienceAt least 7 years of auto finance compliance experience or at least 7 years of auto finance risk experience
Preferred Qualifications:
Master's Degree or Juris Doctor8+ years of auto finance originations compliance experience or auto finance originations risk experienceCRCM certification or CIPP certificationProficient in Google Suite
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections ; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
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Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.
Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).
