Capital One Compliance Advisory Director 

United States, Texas, Plano 

614095389

Compliance Advisory Director

The Compliance Advisor Director 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

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

Plano, TX: $181,800 - $207,500 for Director, ComplianceThis role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

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.