Senior Manager Compliance Advisor- Auto Finance

Company: Capital One
Location: Plano
Posted on: November 22, 2020

Job Description:

Plano 1 (31061), United States of America, Plano, Texas Senior Manager Compliance Advisor- 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

Responsibilities:

Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary

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

Maintain subject matter expertise of applicable laws and regulations

Perform and review control assessments executed by peers for accuracy and adherence to test procedures

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

Provide effective challenge and guidance on compliance risks and support risky lines of business through various interactions and forum engagements

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 regulation

Assist risky lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train

Support lines of business through expert advice, influence adjustments to the processes, procedures, and controls

Conduct targeted validations and reviews on controls over applicable regulations

Perform UDAAP validations and reviews

Active involvement with compliance testing and third party compliance

Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations

Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management

Participate in reporting activities, such as: New Law Process, New Initiative process, and other reports used by Senior Leadership

Manage and develop Advising Team in support of their compliance work and professional career

Basic Qualifications:

Bachelors Degree or Military Experience

At least 7 years of experience in Banking or Financial Services

Preferred Qualifications:

Juris Doctorate Degree

CRCM certification, or ACAMS certification, or CIPP certification

At least 5 years of experience in compliance

Proficiency in Google Suite

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

Keywords: Capital One, Plano , Senior Manager Compliance Advisor- Auto Finance, Other , Plano, Texas