Sr. Compliance Manager--Servicing and Default Management

Company:	Capital One Company Profile \| Current Opportunities (156)
Job Location(s):	Plano
Employment Term:	Regular
Employment Type	Full Time
Start Date:	As soon as possible
Starting Salary Range:	Not Provided
Required Education:	Associate Degree
Required Experience:	Open
Related Categories:	Miscellaneous

Position Description

This Senior Compliance Advisor / Managerwill focus on compliance specific to Servicing and Default Managementfor Capital One’s Mortgage line of business. Compliance Advisors manage compliance risk throughout Capital One Financial Corporation. Compliance Advisors keep abreast on financial industry laws and regulations and provide regulatory expertise in consulting with a diverse group of business line leaders. Compliance Advisors provide compliance consulting to one or more Business Areas in areas of consumer, non-consumer and commercial compliance relative to their line(s) of business. Compliance Advisors guide, advise, and approve Business Area activities subject to financial services industry laws and regulations. Compliance Advisors work with increasingly higher Business Area executives to establish and communicate a clear view of compliance risks within that Business Area. The Compliance Advisor interacts with and advises the Business Areas on the need for and effective methods of managing compliance risk arising from federal and state laws and regulations, within an enterprise-level risk management framework. Compliance Advisors oversee Corporate Compliance staff as they perform compliance duties and/or provide technical advice to Business Area(s). Compliance Advisors maintain all organizational and professional ethical standards. Compliance Advisors work with general supervision and have some latitude for initiative and independent judgment. Compliance Advisors are beginning to be viewed as a corporate authority in their area(s) of expertise.

Responsibilities Include:

Inform business leaders of the requirements of law and regulation that they must comply with

Advise business leaders on their obligations under the Capital One Compliance Policy

Evaluate business initiatives and processes from a compliance perspective (i.e., new ventures, products, systems, marketing initiatives, credit models).

Guide Business Area(s) on the application of Compliance requirements (new product or process development, corrective action, change in law or regulatory environment)

Guide Business Area(s) on the development and maintenance of processes to deliver on their responsibilities and accountabilities within the Compliance Management Program

Influence business leaders to comply with applicable laws and regulations

Assess the effectiveness of the Compliance Management Program and provide feedback to Compliance Officers and CMP Administration team

Work independently under general supervision, with latitude for initiative and independent judgment.

Manage and develop associates in support of their compliance work and professional career

Manages external compliance consultants, as applicable

Performs other related work as assigned by a Compliance Vice President, the Deputy Chief Compliance Officer or the Chief Compliance Officer.

Basic Qualifications:
• Bachelor’s degree with 5 years of full-time experience in consumer compliance, legal, audit or finance OR high school diploma and 7 years of full-time experience in compliance, legal, audit or finance

Preferred Qualifications:
• 8-10 years of consumer compliance experience in a large banking institution with a focus on mortgage
• Excellent communication skills and ability to influence and guide others
• Strong relationship building skills
• Strong problem solving skills
• Certified Regulatory Compliance Manager
• Certified Information Privacy Professional
• Proficient in Microsoft Excel and PowerPoint

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

No agencies please. Capital One is an equal opportunity employer committed to diversity in the workplace. We promote a drug-free work environment. We emphasize recruiting, hiring, and retaining the most qualified candidates and providing them with the opportunity to meet their potential. We provide an environment where differences lead to solutions.

Other desired skills:
mortgage, compliance, default, servicing, audit