Capital One
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybr
Capital One, Richmond, Virginia, United States, 23214
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid)
Join to apply for the
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid)
role at
Capital One 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 to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creates a dynamic and challenging atmosphere for both personal growth and professional opportunity. 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.
Ideal Teammate Qualities
You are a critical thinker who seeks to understand the business and its control environment.
You believe insight and objectivity are core elements to providing assurance on governance, risk management, and internal control processes.
You possess a relentless focus on quality and timeliness.
You adapt to change, embrace bold ideas, and are intellectually curious.
You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact.
You understand that data analytics and technology enhance audit performance.
You coach and invest in the betterment of your team and lead through change with candor and optimism.
You foster an environment of trust, collaboration, and belonging.
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, financial services, or professional services serving large banks.
4+ years of experience in one or more areas of compliance (e.g., consumer, brokerage, wealth management, or trust).
1+ years of experience with data analytics tools and internal auditing data analysis.
Master’s Degree (Accounting, Finance, or MBA).
Certified Internal Auditor (CIA), CPA, CRCM, or CAMS.
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–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. Locations and ranges vary by site. This information was provided for candidates hired to work in listed locations.
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 eligible for 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 your total well-being. Eligibility varies based on status. For accommodations or questions about the recruiting process, contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. Capital One is an equal opportunity employer and maintains a drug-free workplace. Background inquiries where allowed by law will be conducted in a manner consistent with applicable laws.
Capital One does not provide, endorse, or guarantee third-party products or services. Capital One Financial is made up of several entities; positions posted in Canada, the UK, or the Philippines correspond to Capital One Canada, Capital One Europe, and Capital One Philippines Service Corp. respectively.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Accounting/Auditing and Finance
Note: This description reflects the role as posted and may be subject to change. No agencies please.
#J-18808-Ljbffr
Join to apply for the
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid)
role at
Capital One 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 to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creates a dynamic and challenging atmosphere for both personal growth and professional opportunity. 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.
Ideal Teammate Qualities
You are a critical thinker who seeks to understand the business and its control environment.
You believe insight and objectivity are core elements to providing assurance on governance, risk management, and internal control processes.
You possess a relentless focus on quality and timeliness.
You adapt to change, embrace bold ideas, and are intellectually curious.
You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact.
You understand that data analytics and technology enhance audit performance.
You coach and invest in the betterment of your team and lead through change with candor and optimism.
You foster an environment of trust, collaboration, and belonging.
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, financial services, or professional services serving large banks.
4+ years of experience in one or more areas of compliance (e.g., consumer, brokerage, wealth management, or trust).
1+ years of experience with data analytics tools and internal auditing data analysis.
Master’s Degree (Accounting, Finance, or MBA).
Certified Internal Auditor (CIA), CPA, CRCM, or CAMS.
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–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. Locations and ranges vary by site. This information was provided for candidates hired to work in listed locations.
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 eligible for 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 your total well-being. Eligibility varies based on status. For accommodations or questions about the recruiting process, contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. Capital One is an equal opportunity employer and maintains a drug-free workplace. Background inquiries where allowed by law will be conducted in a manner consistent with applicable laws.
Capital One does not provide, endorse, or guarantee third-party products or services. Capital One Financial is made up of several entities; positions posted in Canada, the UK, or the Philippines correspond to Capital One Canada, Capital One Europe, and Capital One Philippines Service Corp. respectively.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Accounting/Auditing and Finance
Note: This description reflects the role as posted and may be subject to change. No agencies please.
#J-18808-Ljbffr