Description
Capital One is looking for a Senior Manager Compliance Advisor to support Auto Finance.
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.
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 the 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
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
The minimum and maximum full-time annual salaries for this role are $161,500 - $184,300.
This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives (LTI).
Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits that support your total well-being.