Skip Navigation

We are here to help our candidates impacted by the COVID-19 virus situation. Learn more

Senior Manager Compliance Advisor- Auto Finance

Location Plano, Texas
Job ID R100449 Updated date 10/02/2020
Plano 1 (31061), United States of America, Plano, Texas

Senior Manager Compliance Advisor- Auto Finance

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

Responsibilities: 

  • Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary

  • Identify trends in data and proactively advise on identified external and internal risks

  • Maintain subject matter expertise of applicable laws and regulations

  • Perform and review control assessments executed by peers for accuracy and adherence to test procedures

  • Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts

  • Provide effective challenge and guidance on compliance risks and support risky lines of business through various interactions and forum engagements

  • 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

  • Assist risky lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train

  • Support lines of business through expert advice, influence adjustments to the processes, procedures, and controls

  • Conduct targeted validations and reviews on controls over applicable regulations

  • Perform UDAAP validations and reviews

  • Active involvement with compliance testing and third party compliance

  • Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations

  • Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management

  • Participate in reporting activities, such as: New Law Process, New Initiative process, and other reports used by Senior Leadership

  • Manage and develop Advising Team in support of their compliance work and professional career

Basic Qualifications: 

  • Bachelors Degree or Military Experience

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

Preferred Qualifications:

  • Juris Doctorate Degree 

  • CRCM certification, or ACAMS certification, or CIPP certification

  • At least 5 years of experience in compliance

  • Proficiency in Google Suite

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 City’s Fair Chance Act; Philadelphia’s 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 RecruitingAccommodation@capitalone.com. 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 One's recruiting process, please send an email to Careers@capitalone.com

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).

Who We Are

At Capital One, we’re 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.