Capital One
Senior Audit Manager, Corporate Compliance (Hybrid)
Capital One, Chicago, Illinois, United States, 60290
Overview
Senior Audit Manager, Corporate Compliance (Hybrid) 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. Audit's vision is to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creating a dynamic and challenging atmosphere for both personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Audit Senior Manager interested in becoming part of our Audit team. In this role as a member of the Corporate Compliance Audit Team, the candidate will have the opportunity to lead professional internal auditing work that involves conducting compliance-related audit projects and providing input to the annual audit plan.
Responsibilities
Plan, perform, and lead large/complex compliance-related audits at the enterprise level as well as other diverse lines of business and specialty areas.
Help to implement the team's strategic imperatives/priorities.
Establish and build working relationships with internal and external management.
Provide significant input into the development of the annual audit plan.
Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes.
Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
Communicate the results of audit projects to management (written reports/oral presentations).
Manage staff during audit engagements and provide feedback on work performed.
Ideal teammate qualifications
You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions and test assumptions.
You seek to deepen relationships and shared objectives with your business partners to deliver an elevated value proposition and outstanding business results.
You're a firm believer that data will only make you a better Auditor. This part will require looking at some data, so you'll want to ensure that analytics doesn't scare you off.
You're a strong people leader and teacher. You have a passion for coaching and investing in the development of your team.
Lastly, you create energy and an environment that makes it easy to attract, hire, and retain top talent.
Basic Qualifications
Bachelor's Degree or military experience
At least 7 years of experience in auditing, compliance, risk management or a combination
At least 5 years of experience in leading audit engagements or performing in the role of auditor-in-charge
At least 1 year of experience in people management
Preferred Qualifications
5+ years of experience in one or more areas of compliance, such as consumer compliance or brokerage compliance.
10+ years of experience in banking or the financial services industry
2+ years of experience with data analytics tools in support of internal audit
1+ years of experience with privacy compliance in the financial services industry
Certified Regulatory Compliance Manager (CRCM); Certified Internal Auditor (CIA) or Certified Public Accountant (CPA)
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
This role is hybrid—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 team areas.
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 number of hours to be regularly worked. Charlotte, NC: $155,300 - $177,200; Chicago, IL: $155,300 - $177,200; McLean, VA: $170,800 - $194,900; New York, NY: $186,300 - $212,700; Plano, TX: $155,300 - $177,200; Richmond, VA: $155,300 - $177,200; Riverwoods, IL: $155,300 - $177,200.
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 will be reflected in the offer letter. This role is also eligible to earn performance-based incentive compensation, which may include cash bonuses and/or long-term incentives (LTI).
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support total well-being. Learn more at the Capital One Careers website. 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 applicable laws regarding criminal background inquiries.
If you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information provided will be kept confidential and used only to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please email Careers@capitalone.com.
Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, or information available through this site. Capital One Financial is made up of several different entities. Any position posted in Canada is for Capital One Canada, in the United Kingdom for Capital One Europe, and in the Philippines for COPSSC.
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Senior Audit Manager, Corporate Compliance (Hybrid) 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. Audit's vision is to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creating a dynamic and challenging atmosphere for both personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Audit Senior Manager interested in becoming part of our Audit team. In this role as a member of the Corporate Compliance Audit Team, the candidate will have the opportunity to lead professional internal auditing work that involves conducting compliance-related audit projects and providing input to the annual audit plan.
Responsibilities
Plan, perform, and lead large/complex compliance-related audits at the enterprise level as well as other diverse lines of business and specialty areas.
Help to implement the team's strategic imperatives/priorities.
Establish and build working relationships with internal and external management.
Provide significant input into the development of the annual audit plan.
Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes.
Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
Communicate the results of audit projects to management (written reports/oral presentations).
Manage staff during audit engagements and provide feedback on work performed.
Ideal teammate qualifications
You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions and test assumptions.
You seek to deepen relationships and shared objectives with your business partners to deliver an elevated value proposition and outstanding business results.
You're a firm believer that data will only make you a better Auditor. This part will require looking at some data, so you'll want to ensure that analytics doesn't scare you off.
You're a strong people leader and teacher. You have a passion for coaching and investing in the development of your team.
Lastly, you create energy and an environment that makes it easy to attract, hire, and retain top talent.
Basic Qualifications
Bachelor's Degree or military experience
At least 7 years of experience in auditing, compliance, risk management or a combination
At least 5 years of experience in leading audit engagements or performing in the role of auditor-in-charge
At least 1 year of experience in people management
Preferred Qualifications
5+ years of experience in one or more areas of compliance, such as consumer compliance or brokerage compliance.
10+ years of experience in banking or the financial services industry
2+ years of experience with data analytics tools in support of internal audit
1+ years of experience with privacy compliance in the financial services industry
Certified Regulatory Compliance Manager (CRCM); Certified Internal Auditor (CIA) or Certified Public Accountant (CPA)
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
This role is hybrid—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 team areas.
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 number of hours to be regularly worked. Charlotte, NC: $155,300 - $177,200; Chicago, IL: $155,300 - $177,200; McLean, VA: $170,800 - $194,900; New York, NY: $186,300 - $212,700; Plano, TX: $155,300 - $177,200; Richmond, VA: $155,300 - $177,200; Riverwoods, IL: $155,300 - $177,200.
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 will be reflected in the offer letter. This role is also eligible to earn performance-based incentive compensation, which may include cash bonuses and/or long-term incentives (LTI).
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support total well-being. Learn more at the Capital One Careers website. 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 applicable laws regarding criminal background inquiries.
If you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information provided will be kept confidential and used only to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please email Careers@capitalone.com.
Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, or information available through this site. Capital One Financial is made up of several different entities. Any position posted in Canada is for Capital One Canada, in the United Kingdom for Capital One Europe, and in the Philippines for COPSSC.
#J-18808-Ljbffr