Compliance Manager - Lending & Finance jobs at Capital One
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1,257 jobs found
21.09.2024
CO
Capital One Compliance Manager - Lending & Finance United States, New York
Serving as a credible advisor and partner representing the Compliance organization to the businesses, Risk Offices, and other independent risk functions. Developing and maintaining strong relationships with business leadership, Legal,...
Serving as a credible advisor and partner representing the Compliance organization to the businesses, Risk Offices, and other independent risk functions. Developing and maintaining strong relationships with business leadership, Legal,...
Execute the Compliance Management Program by advising business lines on the application of privacy requirements, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and changes in law or...
Providing input on business regulatory requirements. Providing guidance on business policies, standards, and procedures. Leading and reviewing department training, as appropriate. Providing compliance advice on complex projects. Providing guidance on...
Lead audits or significant components of audits. Annual planning, risk assessment, and scheduling of Audit universe. Develop audit engagement planning documentation, and develop the audit program to ensure adequate coverage...
Lead a multi-tiered Compliance Testing Team that focuses on testing Privacy, Enterprise Services, and Community Reinvestment Act controls and Capital One third parties. Lead the development, management, and execution of...
Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to application of those rules to Asset-Backed Securities underwriting...
Serving as a credible advisor and partner representing the Compliance organization to the businesses, Risk Offices, and other independent risk functions. Developing and maintaining strong relationships with business leadership, Legal,...
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