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Sr. Manager Compliance Advisor- Financial Services

Company: Capital One
Location: Plano
Posted on: June 10, 2021

Job Description:

Plano 2 (31062), United States of America, Plano, Texas

Sr. Manager Compliance Advisor- Financial Services

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. The Compliance Advisor 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, to deliver quality results, providing compliance advice to lines of business as a subject matter expert, and executing or participating in corporate processes.

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 regulation

  • Advises 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.

Basic Qualifications:

  • Bachelor's Degree or Military Experience

  • At least 7 years of experience in Banking or Financial Services

Preferred Qualifications:

  • Bachelor's Degree in Business Management, Compliance, Risk, Legal, or Finance, Accounting or a related field

  • Juris Doctorate Degree

  • CRCM certification, or CIPP certification

  • 5 years of experience in compliance

  • Proficient in Google Suite

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

Keywords: Capital One, Plano , Sr. Manager Compliance Advisor- Financial Services, Other , Plano, Texas

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