Capital One
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybr
Capital One, New York, New York, us, 10261
Overview
Capital One’s Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organization’s Audit Committee. Audit professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. Capital One is seeking an energetic, self-motivated Principal Auditor interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on operations of investment (securities and transactions). Responsibilities
Lead small audits, or own completion of significant components of larger audits. Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions and develop audit programs to ensure adequate coverage of risks. Design and execute appropriate audit procedures to verify the effectiveness of internal controls. Document auditee processes and procedures, review and analyze evidence, and identify potential issues. Prepare clear, organized, and complete documentation to support work performed, including draft findings. Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor-in-charge. Self-prioritize and effectively plan your own work activities managing multiple priorities and tasks across the team to deliver quality results. Proactively take on additional work to support the team when possible. Provide coaching, on-the-job training, and feedback to audit staff, including junior associates and recent hires. Qualifications
Basic Qualifications
Bachelor's Degree or military experience At least 3 years of experience in auditing, compliance, risk management, accounting, or a combination. Preferred Qualifications
At least 2 years of experience leading audit engagements, and performing in the role of auditor-in-charge. 4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination. 4+ years of experience in one or more areas of compliance, such as consumer, brokerage, wealth management, or trust 1+ years of experience with data analytics tools and performing data analysis in support of internal auditing Master’s Degree in Accounting, Master’s Degree in Finance, or Master of Business Administration Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Anti-Money Laundering Specialist (CAMS) Other details
At this time, Capital One will not sponsor a new applicant for employment authorization for this position. This role is hybrid meaning associates will spend 3 days per week in-person at one of our offices listed on this job posting. Fridays are enterprise-wide virtual work days. Monday, Tuesday, Wednesday and Thursday are in-person days for associates to spend time together working in our beautifully-designed team areas. Location and compensation
The minimum and maximum full-time annual salaries for this role are listed below, by location. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked. Locations and ranges include: Riverwoods, IL: $106,700 - $121,700 Charlotte, NC: $106,700 - $121,700 Chicago, IL: $106,700 - $121,700 McLean, VA: $117,300 - $133,900 New York, NY: $128,000 - $146,100 Plano, TX: $106,700 - $121,700 Richmond, VA: $106,700 - $121,700 Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter. This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Additional information
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. This role is expected to accept applications for a minimum of 5 business days. No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries. If you require an accommodation, contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical support or questions about Capital One's recruiting process, please email Careers@capitalone.com. Capital One does not provide, endorse nor guarantee third-party products or services available through this site. Seniority level
Mid-Senior level Employment type
Full-time Job function
Accounting/Auditing and Finance
#J-18808-Ljbffr
Capital One’s Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organization’s Audit Committee. Audit professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. Capital One is seeking an energetic, self-motivated Principal Auditor interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on operations of investment (securities and transactions). Responsibilities
Lead small audits, or own completion of significant components of larger audits. Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions and develop audit programs to ensure adequate coverage of risks. Design and execute appropriate audit procedures to verify the effectiveness of internal controls. Document auditee processes and procedures, review and analyze evidence, and identify potential issues. Prepare clear, organized, and complete documentation to support work performed, including draft findings. Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor-in-charge. Self-prioritize and effectively plan your own work activities managing multiple priorities and tasks across the team to deliver quality results. Proactively take on additional work to support the team when possible. Provide coaching, on-the-job training, and feedback to audit staff, including junior associates and recent hires. Qualifications
Basic Qualifications
Bachelor's Degree or military experience At least 3 years of experience in auditing, compliance, risk management, accounting, or a combination. Preferred Qualifications
At least 2 years of experience leading audit engagements, and performing in the role of auditor-in-charge. 4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination. 4+ years of experience in one or more areas of compliance, such as consumer, brokerage, wealth management, or trust 1+ years of experience with data analytics tools and performing data analysis in support of internal auditing Master’s Degree in Accounting, Master’s Degree in Finance, or Master of Business Administration Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Anti-Money Laundering Specialist (CAMS) Other details
At this time, Capital One will not sponsor a new applicant for employment authorization for this position. This role is hybrid meaning associates will spend 3 days per week in-person at one of our offices listed on this job posting. Fridays are enterprise-wide virtual work days. Monday, Tuesday, Wednesday and Thursday are in-person days for associates to spend time together working in our beautifully-designed team areas. Location and compensation
The minimum and maximum full-time annual salaries for this role are listed below, by location. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked. Locations and ranges include: Riverwoods, IL: $106,700 - $121,700 Charlotte, NC: $106,700 - $121,700 Chicago, IL: $106,700 - $121,700 McLean, VA: $117,300 - $133,900 New York, NY: $128,000 - $146,100 Plano, TX: $106,700 - $121,700 Richmond, VA: $106,700 - $121,700 Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter. This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Additional information
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. This role is expected to accept applications for a minimum of 5 business days. No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries. If you require an accommodation, contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical support or questions about Capital One's recruiting process, please email Careers@capitalone.com. Capital One does not provide, endorse nor guarantee third-party products or services available through this site. Seniority level
Mid-Senior level Employment type
Full-time Job function
Accounting/Auditing and Finance
#J-18808-Ljbffr