Director, Compliance Advisory

Capital One • Plano, TX

21h • Hybrid

About The Position

The Director, Compliance Advisor performs a key second-line-of-defense risk management role, helping ensure that corporate initiatives and lines of business processes comply with applicable laws and regulations. Within the Compliance Management Program framework, this role delivers quality results, provides subject matter expertise and compliance advice to lines of business, and executes or participates in corporate processes.

The position advises business teams on regulatory requirements; policies, standards, and procedures; controls and monitoring; complex projects; and training. It also supports compliance program development and maintenance, reviews controls and identified risks, and participates in compliance testing, third-party compliance work, and senior leadership reporting. This is a hybrid position subject to Capital One’s hybrid policy and required on-site presence at the designated office location. The listed salary range for Plano, Texas is $187,300–$213,700 annually, and the role is eligible for performance-based incentive compensation.

Requirements

• 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.

Nice To Haves

• Certified Regulatory Compliance Manager (CRCM) accreditation or Juris Doctor degree.
• Auto finance risk, auto finance compliance, or auto finance originations experience.

Responsibilities

• Review complaints from lines of business and provide remediation guidance; escalate and facilitate with subject matter experts.
• Identify trends in data and proactively advise on external and internal risks.
• Maintain subject matter expertise in applicable laws and regulations.
• Perform and review control assessments completed 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 interactions and forum engagements.
• Advise lines of business on applying compliance requirements to new products, process development, controls and monitoring, remediation or corrective actions, and changes in laws or regulations.
• Assist lines of business in developing and maintaining compliance programs, including monitoring, reporting, and training on potential risk areas.
• Support lines of business with expert advice, including change management of processes, procedures, and controls.
• Conduct targeted validations and reviews of controls for applicable regulations.
• Perform UDAAP validations and reviews.
• Participate actively in compliance testing and third-party compliance.
• Capture, maintain, and analyze compliance data and interpret it to support consistent and adequate compliance risk management.
• Participate in reporting activities used by senior leadership.
• Provide input on business regulatory requirements and guidance on business policies, standards, and procedures.
• Develop and lead department training.
• Provide compliance advice on complex projects.
• Provide guidance on controls for regulatory requirements and line-of-business monitoring of those controls.
• Review business controls and provide guidance on identified risks.

Benefits

• Comprehensive health, financial, and other benefits supporting total well-being; eligibility varies by employment status and management level.
• Performance-based incentive compensation, which may include cash bonuses and/or long-term incentives.

What This Job Offers

• Job Type: Full-time
• Career Level: Director