Compliance Advisor Sr. Manager - Auto Finance

Plano 5 (31065), United States of America, Plano, TexasCompliance Advisor Sr. Manager - Auto FinanceCapital 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 / correctiveaction of compliance breakdowns, and change in law or regulation

Advise the first line of defense on multiple consumer facing products and is responsible for identifying cross-product risks

Analyze information to proactively identify risks, trends, and process improvements; supports reporting on risk topics to management

Identify trends in data and proactively advise on identified external and internal risks

Stay current on the changing regulatory landscape and understanding the impacts to your business

Assist 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 activities

Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts

Participate in compliance forums and contributing to continuous improvement of local governance risk management processes

Enhance risk management processes across Financial Services Compliance by providing thought leadership, oversight, and coordination with other risk management activities across the company

Develop and lead department training, as appropriate

BasicQualifications :

Bachelor's Degree or military experience

At least 7 years of risk management experience within financial services

At least 3 years of auto finance experience

Preferred Qualifications :

Master’s Degree or Juris Doctor

8+ years of auto finance risk or auto finance compliance experience

8+ years of auto finance originations experience

Certified Regulatory Compliance Manager certification (CRCM) or Certified Information Privacy Professional certification (CIPP)

Proficient 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 theCapital 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 4901-4920; 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.