Senior Auto Finance Compliance Leader

Capital One Group; Plano (TX); On-site; USD 161,500 - 184,300; Full time

Job summary

Capital One is seeking a Senior Manager Compliance Advisor to support Auto Finance in Plano, TX. This role partners with business lines to ensure compliance with laws and regulations and to strengthen the second line of defense.

The role delivers risk assessments, advises on new products, controls, monitoring, and remediation actions; leads governance activities and training to elevate the company’s compliance posture.

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.

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.

Skills

Risk management

Regulatory compliance

Auto finance experience

Stakeholder advisory

Google Suite proficiency

Education

Bachelor's Degree

Master’s Degree or Juris Doctor

Tools

Google Suite

Job description

Capital One is seeking a Senior Manager Compliance Advisor to support Auto Finance in Plano, TX. This role partners with business lines to ensure compliance with laws and regulations and to strengthen the second line of defense.

The role delivers risk assessments, advises on new products, controls, monitoring, and remediation actions; leads governance activities and training to elevate the company’s compliance posture.