Compliance Advisor Sr. Manager, Auto Finance

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 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 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.

• The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Plano, TX: $161,500 - $184,300 for Compliance Advisor Sr. Manager

Pay and benefits

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

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.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital 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.

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).