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Sr. Compliance Manager--Servicing and Default Management Job Details

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Sr. Compliance Manager--Servicing and Default Management (Ref: 622995)
Sector, Sub Sector: Other
Compliance Type: Regulatory/Compliance
Expertise: -
Company: Capital One
Location: Plano , Texas
Employment Type: Permanent
Job Description:

This Senior Compliance Advisor / Manager will focus on compliance specific to Servicing and Default Management for 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.

Job Ref No: 622995