Full-Time
Compliance Advisor Sr. Manager
Auto Finance
Posted on 9/11/2024
Capital One
10,001+ employees
Offers diverse financial products and services
Senior
No H1B Sponsorship
Plano, TX, USA
- Bachelor's Degree or military experience
- At least 7 years of risk management experience within financial services
- At least 3 years of auto finance experience
- 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
- Advise the first line of defense on multiple consumer facing products and is responsible for identifying cross-product risks
- Analyze information to proactively identify risks, trends, and process improvements; supports reporting on risk topics to management
- Identify trends in data and proactively advise on identified external and internal risks
- Stay current on the changing regulatory landscape and understanding the impacts to your business
- Assist and drive local governance program delivery, including process management, reporting, engagement in senior leadership meetings, drafting and reviewing materials for senior management and the Board of Directors, and other governance activities
- Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts
- Participate in compliance forums and contributing to continuous improvement of local governance risk management processes
- Enhance risk management processes across Financial Services Compliance by providing thought leadership, oversight, and coordination with other risk management activities across the company
- Develop and lead department training, as appropriate
Capital One offers a variety of financial services, including credit cards, savings accounts, car loans, and business checking accounts, primarily in the United States. The company focuses on user-friendly banking solutions with no fees or minimums for checking accounts, making it easier for customers to manage their money. Capital One stands out from competitors with its commitment to financial inclusion and literacy, partnering with organizations to provide educational resources. The goal is to transform the banking experience by ensuring everyone has access to financial services and the knowledge to make informed decisions.
Company Stage
IPO
Total Funding
$15.9M
Headquarters
McLean, Virginia
Founded
2014
Simplify's Take
What believers are saying
- Partnership with Worldpay enhances payment security and efficiency for merchants.
- Capital One's collaboration with HITEC improves data infrastructure and decision-making.
- Financial empowerment initiatives support community stability, like the $86,000 grant to United Way.
What critics are saying
- Increased competition in subscription management tools may dilute Capital One's first-mover advantage.
- Over-reliance on partnerships for tech advancements could pose risks if partnerships falter.
- Departure of key personnel like Joe Rodriguez may affect risk management expertise.
What makes Capital One unique
- Capital One offers user-friendly banking with no fees or minimums for checking accounts.
- The company partners with Minna Technologies for subscription management tools in its app.
- Capital One's mobile banking app is a model for secure, user-friendly digital banking.
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Benefits
Medical, Dental, & Vision coverage
Onsite Health Centers
Prescription saving with network of local pharmacies
Stock Purchase Plan
Education Assistance
401(k)
Flexible Spending Accounts
Life and Disability insurance
Generous paid time off + corporate & floating holidays
Registered dieticians on site, cooking classes and free virtual fitness classes
Employee Assistance Program