Director, Compliance Advisory
The Director, Compliance Advisor 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 Director, Compliance Advisor 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.
The Director, Compliance Advisor supports the line of business by:
Providing input on business regulatory requirements
Providing guidance on business policies, standards, and procedures
Developing and leading department training
Providing compliance advice on complex projects
Providing guidance on controls over regulatory requirements and line of business monitoring of those controls
Reviewing business controls and providing guidance on identified risks
Responsibilities:
Review complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts
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 business areas 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 lines of business in the development and maintenance of the compliance program, such as how to monitor, report, and train on areas of potential risk
Support lines of business through expert advice, including change management of processes, procedures, and controls
Conduct targeted validations and reviews on controls for applicable regulations
Perform UDAAP validations and reviews
Active involvement with compliance testing and third party compliance
Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate compliance risk management
Participate in reporting activities used by senior leadership
This role is designated as a hybrid position. You are expected to adhere to Capital One's hybrid policy regarding required on-site presence at your designated office location.
Basic Qualifications:
Bachelor’s Degree or military experience
At least 8 years of risk management, compliance, audit or legal experience
At least 3 years of consumer financial services experience
Preferred Qualifications:
Certified Regulatory Compliance Manager (CRCM) accreditation or Juris Doctor degree
Auto finance risk, auto finance compliance or auto finance originations experience
At this time, Capital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position (e.g. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-3, and O-1, or any other forms of work authorization that require immigration support from an employer).
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: $187,300 - $213,700 for Director, Compliance
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the…