Sr. Compliance Manager Job Job Details
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Show me jobs like this one| Employer: | Capital One | Job Ref No: | 1331188829 | Job Title: | Sr. Compliance Manager Job | Sector: | Other | Sub Sector: | Other | Risk Type: | Other | Expertise: | Risk Manager | Description JOB FUNCTIONS Develop and maintain working relationships with Business Leaders and Compliance partners and their designees throughout the company to ensure they understand applicable regulatory requirements. Ensure that risks are appropriately mitigated for both on-going and new initiatives. Act as a liaison to legal, corporate audit and our external auditors. KEY RESPONSIBILITIES - Inform business leaders of the requirements of law and regulation they must comply with - Advise business leaders on their obligations under the Capital One Compliance Management 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) - Execute Compliance Advisor tasks outlined in the Compliance Management Program in a designated area of compliance responsibility - 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 compliance management program effectiveness and provide feedback to Compliance Officers and CMP Governance team - Interacts with the Business Areas on the need for effective methods of managing compliance risk arising from federal and state laws and regulations, within an enterprise-level risk management framework. - Keep abreast of financial industry laws and regulations and provide regulatory expertise in consulting with a diverse group of business line leaders. - Work independently under general supervision, with latitude for initiative and independent judgment. - Manages external compliance consultants, as applicable - Compliance Advisors must maintain all organizational and professional ethical standards - Performs other related work as assigned by a Compliance Vice President or the Chief Compliance Officer. Specialized Knowledge and Proficiency Compliance Advisors should have a detailed understanding of the laws and regulations outlined in the Compliance Management Program Applicability Matrix in their designated area of responsibility. Specialized knowledge for the Home Equity Originations area includes: - Laws governing extensions of credit secured by a residence - Fair Credit Reporting Act - Fair Housing Act (FHA) - National Flood Insurance Act (NFIA) - Real Estate Settlement Procedures Act (RESPA), HUD Regulation X - Truth in Lending Act (TILA), Federal Reserve Regulation Z - Equal Credit Opportunity Act (ECOA), Regulation B - Fair and Accurate Credit Transactions Act - Privacy of Consumer Financial Information - AML/BSA/OFAC/CIP requirements Qualifications Basic Qualifications: - 5 or more years of full-time experience in compliance, legal or audit - Bachelor's degree from an accredited college or university - 1+ years experience in the home equity, mortgage and/or credit business Preferred Qualifications - One or more of the following: - Law degree from an accredited law school - Certified Regulatory Compliance Manager - Masters Degree in Business - Proficient in Microsoft Word and PowerPoint Job: Audit, Risk Management and Security Primary Location: United States-Texas-Plano-DFW-Plano People Center Bldg 4 (31064) Schedule: Full-time Travel: Yes, 10 % of the Time Job Posting: Unposting Date: | Employment Type: | Full Time | Region/Country: | Americas, United States | States/Counties: | Texas | City: | Plano | Address: | Post Date: | 03/14/2012 |
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