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Compliance Advisor Sr. Manager - Auto Finance

Capital One
Plano, USA
Closing date
Jul 11, 2024

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Plano 5 (31065), United States of America, Plano, Texas
Compliance Advisor Sr. Manager - 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. Effective and efficient processes are critical to identifying and managing compliance risk, and meeting customer and regulator expectations.

  • 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 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 auto finance compliance experience or at least 7 years of auto finance risk experience

Preferred Qualifications:
  • Master's Degree or Juris Doctor
  • 8+ years of auto finance originations compliance experience or auto finance originations risk experience
  • CRCM certification or CIPP certification
  • Proficient in Google Suite

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

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 . 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. 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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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 . 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

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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