• Senior Manager , Compliance Advisor Jobs in United States Of America - 25675653

  • United States Of America, Usa
  • Save Job
  • 10 - 13 Years
  • Posted : above 1 month

Job Description:

At Capital One, were building a leading information-based technology company Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking We measure our efforts by the success our customers enjoy and the advocacy they exhibit We are succeeding because they are succeeding

Guided by our shared values, we thrive in an environment where collaboration and openness are valued We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results We elevate each other and obsess about doing the right thing Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams Together, we are on a quest to change banking for good

Senior Manager, Compliance Advisor

Capital One is looking for a Senior Manager Compliance Advisor to support the Auto Finance Bankruptcy department in Plano and to serve as an enterprise bankruptcy expert The Advisor will advise the business directly on adherence to law in the delivery of products and services in one of the most innovative and fastest growing Auto Finance companies in America This team directly advises our senior leaders -- not only having a seat at the table but a meaningful and welcome voiceOur team in Compliance has a unique opportunity to learn, grow and professionally expand across functions

The Senior Manager Compliance Advisor performs a key risk management role (second line of defense) by ensuring business line initiatives and processes comply with applicable consumer laws and regulations While working within the Compliance Management Program framework, the Senior Manager Compliance Advisor is responsible for delivering quality results, providing compliance advice to business lines as a subject matter expert, and executing or participating in corporate risk management processes

The Senior Manager Compliance Advisor supports business lines by

-Providing subject matter expertise and guidance on consumer and bankruptcy compliance requirements;

-Providing effective challenge and guidance on compliance risks and supporting business line through various interactions and forums;

-Assessing operational breakdowns for compliance risk and providing guidance on remediation/recovery plans;

-Providing guidance on controls over compliance requirements and business line monitoring of those controls

The ideal candidate will demonstrate

Learning Agility

Strong Ownership & Execution

Strong Verbal & Written Communication & Influence

Legal/Regulatory Advising Expertise

Teamwork & Collaborative Mindset


-Maintain subject matter expertise of applicable consumer laws and regulations and Compliance Risk Management framework

-Maintain understanding of business line operating processes, strategies, products, and services

-Provide effective challenge and guidance on compliance risks and support business line through various interactions and forums

-Support business line by providing expert advice and influencing changes to processes, procedures, and controls to mitigate compliance risk

-Determine compliance requirement applicability to business line products and processes

-Advise business line on compliance requirement applicability for new products and/or processes and changes in law or regulation

-Review new/revised business line policies, standards and procedures

-Help business line determine appropriate training audience, delivery channel(s), and training frequency for compliance training

-Review business line training materials with compliance related content for accuracy and completeness

-Provide business line guidance on developing and executing controls and monitoring plans

-Assess operational breakdowns for compliance risk and provide guidance on remediation/recovery plans

-Identify trends in data and advise on identified emerging risks

-Review business line performance and escalate high risks and issues

-Communicate compliance risk appetite and key performance metrics to business line and monitor business plans to ensure compliance risk remains within approved appetite

-Review complaints for compliance risks; provide guidance on remediation; escalate and facilitate with subject matter experts as necessary

-Evaluate Internal Audit, regulatory exam, and self-identified issues and events for compliance impacts

-Monitor external compliance environment, emerging risks, regulatory focus areas

-Assist business line in developing and maintaining their Compliance Management Program

Basic Qualifications
-Bachelors Degree
-5 years of experience in compliance, legal, or audit
-7 years of experience supporting, partnering, and interacting with internal business clients

-Juris Doctor Degree
-10 years of experience in compliance, legal, or audit
-CRCM, ACAMS, CIPP, or Series 7, 24, or 63/65 certifications, as appropriate

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

No agencies please Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law Capital One promotes a drug-free workplace Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York Citys Fair Chance Act; Philadelphias Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodationcapitalonecom All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations

For technical support or questions about Capital Ones recruiting process, please send an email to Careerscapitalonecom

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)

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Profile Summary:

Employment Type : Full Time
Eligibility : Any Graduate
Industry : Others - other Industry
Functional Area : IT Software : Software Products & Services
Role : Software Engineer
Salary : As per Industry Standards
Deadline : 15th Jul 2020

Key Skills:

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