Sr. Compliance Specialist (USA) Job
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Job Code:
1670734A1
Country:
United States
State:
-
City:
Plano
Post Code:
75023
Address:
Post Date:
02/19/2012
Sr. Compliance Specialist (USA)-711416
Description
Summary:
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.
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 the Director of Sales Governance and Reporting, Home Loans.
Qualifications
Basic Qualifications
- Bachelor's degree from an accredited college or university or equivalent work experience required.
- 2 or more years of full-time experience in compliance, legal or audit
- 5 year of specific experience in the mortgage lending
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
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
No agencies please. Capital One is an equal opportunity employer committed to diversity in the workplace. We promote a drug-free work environment. We emphasize recruiting, hiring, and retaining the most qualified candidates and providing them with the opportunity to meet their potential. We provide an environment where differences lead to solutions.
J2W:CB
J2W:LI
Job: Mortgage
Primary Location: United States-Texas-Plano-DFW-Plano People Center Bldg 3 (31063)
Schedule: Full-time
Travel: No
Job Posting:
Unposting Date:
Description
Summary:
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.
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 the Director of Sales Governance and Reporting, Home Loans.
Qualifications
Basic Qualifications
- Bachelor's degree from an accredited college or university or equivalent work experience required.
- 2 or more years of full-time experience in compliance, legal or audit
- 5 year of specific experience in the mortgage lending
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
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
No agencies please. Capital One is an equal opportunity employer committed to diversity in the workplace. We promote a drug-free work environment. We emphasize recruiting, hiring, and retaining the most qualified candidates and providing them with the opportunity to meet their potential. We provide an environment where differences lead to solutions.
J2W:CB
J2W:LI
Job: Mortgage
Primary Location: United States-Texas-Plano-DFW-Plano People Center Bldg 3 (31063)
Schedule: Full-time
Travel: No
Job Posting:
Unposting Date:
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