Director, Compliance Advisory

Capital One • Plano, TX

2d • $187,300 - $213,700 • Hybrid

About The Position

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

The role supports lines of business by providing input on regulatory requirements; guidance on policies, standards, procedures, controls, and monitoring; training; and advice on complex projects and identified risks. This is a hybrid position, with required on-site presence at the designated office location under Capital One’s hybrid policy.

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 generated from lines of business and guide remediation, escalating and facilitating with subject matter experts as needed.
• Identify trends in data and proactively advise on internal and external risks.
• Maintain subject matter expertise in applicable laws and regulations.
• Perform control assessments and review peer-executed assessments for accuracy and adherence to test procedures.
• Evaluate Internal Audit findings, regulatory examination findings, and self-identified issues and events for compliance impacts.
• Provide effective challenge and guidance on compliance risks, supporting higher-risk 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 action, and changes in law or regulation.
• 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 for 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, adequate compliance risk management.
• Participate in reporting activities for senior leadership.
• Provide input on business regulatory requirements and guidance on policies, standards, procedures, and controls.
• Develop and lead department training.
• Provide compliance advice on complex projects.

Benefits

• Comprehensive, competitive, and inclusive health, financial, and other benefits supporting total well-being.
• 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