Compliance Advisor Sr. Manager, Auto Finance
Capital One is looking for a Senior Manager Compliance Advisor to support Auto Finance. This role performs a key risk management function (second line of defense) to ensure corporate initiatives and lines of business processes comply with applicable laws and regulations.
About the role
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 within the Compliance Management Program framework. 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 regulation
- Advise the first line of defense on multiple consumer-facing products, business-to-business products, software as a service products, and identify cross-product risks
- Analyze information to proactively identify risks, trends, and process improvements; support 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 understand 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 contribute 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
Qualifications
Basic Qualifications
- 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.
Pay
The minimum and maximum full-time annual salaries for this role are listed below, by location. Salaries for part-time roles will be prorated based on the agreed-upon number of hours to be regularly worked.
- Plano, TX: $161,500 - $184,300
Candidates hired to work in other locations will be subject to the pay range associated with that location. This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives (LTI). Incentives could be discretionary or non-discretionary depending on the plan.
Benefits
Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits that support your total well-being. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. Learn more at the Capital One Careers website.