Capital One
Audit Director, Financial Crimes Compliance
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Audit Director, Financial Crimes Compliance
role at
Capital One . Overview
Capital One’s Audit function is dedicated to delivering top-quality assurance services to the organization’s Audit Committee. Our professionals are experienced, credentialed, and operate within a collaborative, agile environment, providing value-added opinions and recommendations. We aim to provide high-value, independent, proactive insights, innovate with technology, and be a top talent destination, fostering a dynamic environment for growth and opportunity. We are seeking an energetic, self-motivated Audit Director to join our team. The candidate will focus on all aspects of financial crimes compliance across the bank, designing and executing risk-based testing strategies to ensure effective AML, Sanctions, and Fraud risk management across all business lines. The role involves contributing to the audit plan, maintaining a comprehensive understanding of the AML, Sanctions, and Fraud risk profile, and will initially focus on audit execution for Discover Financial Services as part of our integration effort. Responsibilities
Lead and/or execute compliance audits within Capital One, supervising audit staff on related engagements. Monitor the audit universe for changing risks and update risk assessments, audit plans accordingly. Conduct business unit and project audits across assigned portfolios. Review audit planning documents and programs for risk coverage and scope rationale. Supervise and coordinate work among audit team members, providing feedback and coaching. Build and maintain relationships with business and audit partners, representing internal audit in meetings and forums. Assess audit findings, exposures, trends, and big-picture issues, interpreting business priorities. Communicate findings clearly and concisely, tailoring messages to the audience. Manage multiple tasks effectively, meeting deadlines and ensuring quality delivery. Ideal Candidate Traits
Critical thinker with a business and control environment understanding. Objectivity and insight in assurance processes. Focus on quality and timeliness. Adaptability, curiosity, and willingness to challenge norms. Ability to develop influential relationships based on trust. Technologically savvy, leveraging data analytics and innovation. Leadership qualities, coaching skills, and integrity. Ability to foster trust and collaboration in teams. Travel Expectations
Approximately 10-15% travel required. The role is hybrid, with at least 3 days/week in-office (Monday-Thursday), and Fridays as virtual workdays. Basic Qualifications
Bachelor’s degree or military experience. Minimum 10 years in auditing, compliance, or risk management. At least 5 years in AML, Sanctions, and Fraud compliance. 5+ years in banking or financial services. 3+ years in people management and managing audit engagements. Preferred Qualifications
Master’s Degree in relevant fields. Certifications like CAMS, CFE, CIA, CPA, CRCM. Experience with consumer compliance, privacy, and conduct risk. 15+ years in internal auditing or related fields. 7+ years in leadership roles. Experience with BSA, AML, US PATRIOT Act, OFAC. International audit experience and data analytics skills. This position does not qualify for sponsorship. Salary ranges vary by location, with additional performance incentives and comprehensive benefits. The application window is at least 5 business days. Capital One is an equal opportunity employer and promotes a drug-free workplace. For accommodations, contact Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical support, email Careers@capitalone.com.
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Join to apply for the
Audit Director, Financial Crimes Compliance
role at
Capital One . Overview
Capital One’s Audit function is dedicated to delivering top-quality assurance services to the organization’s Audit Committee. Our professionals are experienced, credentialed, and operate within a collaborative, agile environment, providing value-added opinions and recommendations. We aim to provide high-value, independent, proactive insights, innovate with technology, and be a top talent destination, fostering a dynamic environment for growth and opportunity. We are seeking an energetic, self-motivated Audit Director to join our team. The candidate will focus on all aspects of financial crimes compliance across the bank, designing and executing risk-based testing strategies to ensure effective AML, Sanctions, and Fraud risk management across all business lines. The role involves contributing to the audit plan, maintaining a comprehensive understanding of the AML, Sanctions, and Fraud risk profile, and will initially focus on audit execution for Discover Financial Services as part of our integration effort. Responsibilities
Lead and/or execute compliance audits within Capital One, supervising audit staff on related engagements. Monitor the audit universe for changing risks and update risk assessments, audit plans accordingly. Conduct business unit and project audits across assigned portfolios. Review audit planning documents and programs for risk coverage and scope rationale. Supervise and coordinate work among audit team members, providing feedback and coaching. Build and maintain relationships with business and audit partners, representing internal audit in meetings and forums. Assess audit findings, exposures, trends, and big-picture issues, interpreting business priorities. Communicate findings clearly and concisely, tailoring messages to the audience. Manage multiple tasks effectively, meeting deadlines and ensuring quality delivery. Ideal Candidate Traits
Critical thinker with a business and control environment understanding. Objectivity and insight in assurance processes. Focus on quality and timeliness. Adaptability, curiosity, and willingness to challenge norms. Ability to develop influential relationships based on trust. Technologically savvy, leveraging data analytics and innovation. Leadership qualities, coaching skills, and integrity. Ability to foster trust and collaboration in teams. Travel Expectations
Approximately 10-15% travel required. The role is hybrid, with at least 3 days/week in-office (Monday-Thursday), and Fridays as virtual workdays. Basic Qualifications
Bachelor’s degree or military experience. Minimum 10 years in auditing, compliance, or risk management. At least 5 years in AML, Sanctions, and Fraud compliance. 5+ years in banking or financial services. 3+ years in people management and managing audit engagements. Preferred Qualifications
Master’s Degree in relevant fields. Certifications like CAMS, CFE, CIA, CPA, CRCM. Experience with consumer compliance, privacy, and conduct risk. 15+ years in internal auditing or related fields. 7+ years in leadership roles. Experience with BSA, AML, US PATRIOT Act, OFAC. International audit experience and data analytics skills. This position does not qualify for sponsorship. Salary ranges vary by location, with additional performance incentives and comprehensive benefits. The application window is at least 5 business days. Capital One is an equal opportunity employer and promotes a drug-free workplace. For accommodations, contact Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical support, email Careers@capitalone.com.
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