Sales Monitoring & Well Managed Business Partner

  • Company: Capital One
  • Posted: November 19, 2016
  • Reference ID: R14689
Plano 2 (31062), United States of America, Plano, Texas

Sales Monitoring & Well Managed Business Partner

Sales Control Monitoring (SCM) exists as a testing group to monitor adherence to internal controls and regulatory requirements. This role will partner with Sales Leadership to drive excellence through testing, remediation and training efforts. Candidate will lead all efforts for assigned region/channel. Additionally, this role will perform targeted testing, and identify root cause issues along with recommendations on how to close the gap from a control standpoint. Lead Well Managed and Sales Excellence agenda for assigned region/channel. Position will require researching past trends and identifying specific opportunities down to the Loan Officer level. The Candidate must have excellent communication skills as this role will have interaction with Loan Officers, as well as Area and Regional Management. This position will be located in Plano and will require the ability to occasionally travel up to 25% of the time to adequately support assigned region/channel. 


- Engage Loan Officers with scenario based opportunities. Provide challenges and ultimately feedback to Sales Leadership for coaching purposes. Will require scheduling calls with the Loan Officers within targeted population.

-Gather data by determining the root-cause fail point and make recommendations/provide solutions for controls to remediate fails.

- Partner with Leadership of Sales Control Monitoring and Sales leadership to lead monthly remediation efforts with individual performers

reviewing a specific established baselines to ensure compliance with governance, policies and procedures 
-Provide accurate feedback related to testing, trending, and concerns to Management

-Review escalated concerns and determine if fail exists – if so, perform analysis at to the root cause

-Perform Targeted testing and root-cause analysis as it related to supporting the Controls associated with Home Loans Sales

-Perform other assigned duties specific to testing within Sales Control Monitoring as required 
-Actively engage in team and self-development with focus on general methodologies and principles of quality 
-Must be proficient in Word, Excel, and PowerPoint 

-Collaboration of projects which may occur based on situation, need and associate availability 

-Knowledge of mortgage industry regulations, including the Fair Credit Reporting Act, the Real Estate Settlement Procedures Act, the Community Reinvestment Act, Truth-in-Lending laws, etc

-Strong communication and Project Management skills are required to act as the liaison between the Mortgage Sales LOB and appropriate well managed partners across the organization

-Act as the Sales Well Managed lead for Training and Remediation related to audits, exams. 

-Validate that artifacts provided by the line of business sufficiently evidence remediation activity

-Coordinate testing where applicable to validate sustained performance in targeted risk areas

-Provide a risk point of view to activities to ensure all actions and communications are in the best interests of the customer and the business

-Serve as interdepartmental liaison, interfacing with lines of business and staff functions such as Compliance, Legal, and other areas of Risk

-Gather data and reporting; perform initial analysis or potentially evaluate data provided by team analysts 

-Provide feedback to senior leadership on both the process and status of prep and remediation work

- Design and implement internal governance processes within Sales Control Monitoring group

- Lead Sales Excellence and Well Managed program for assigned region

- High self-accountability, ability to perform tasks, demonstrate the ability to work successfully and productively in a multi-task, fast paced and continually flexing environment with little supervision 
- Excellent verbal and written communication skills 
- Excellent phone skills with mortgage/processing knowledge base 
- Responds well to coaching and feedback 
- Strong integrative thinking and problem solving skills 
- Prioritization, organization and time management skills required with a focus on meeting deadlines 
- Familiarity with audit processes 
- Strong QA/QC review skills 
- Ability to be flexible with changing priorities 

- General Regulatory Knowledge

- Ability to think critically beyond the initial results and determine the underlying ‘why’

- Ability to be personable and interact professionally on the phone and with Sales Leadership as needed

- Complex Problem Solving

- Bachelor’s Degree or military experience 
- At least 2 years of Financial Services experience 

- At least 2 years of experience working in a Bank regulated environment.
- Proficient with Microsoft Office 

- At least 2 years of Financial Services Sales experience

- 1 year of experience in mortgage loan servicing 
- 1 year of experience in mortgage quality assurance 
- 1 year of experience completing Quality Audits 
- 1 year of Call Center experience 

- 2+ years of Underwriting

- 2+ years’ experience as a People Manager

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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