Capital One National Association
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybr
Capital One National Association, New York, New York, us, 10261
Overview
Principal Auditor (Experienced Senior Auditor) – Corporate Compliance Audits (Hybrid) Capital One’s Audit function is a dedicated group focused on delivering top-quality assurance services. Auditors operate within a collaborative, agile environment to deliver value-added opinions and recommendations. The team aims to provide independent, proactive insights and to innovate with technology while supporting personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal Auditor to 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 the audit lead.
Self-prioritize and effectively plan work activities, managing multiple priorities 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 like to ask questions, test assumptions, and challenge conventional thinking.
You develop influential relationships based on shared risk objectives and trust to deliver business impact and elevate Audit’s value proposition.
You understand that data, innovation, and technology enhance auditing through data analytics and technical expertise.
You mentor others, lead by example, and foster an environment of candor and optimism during change.
You create energy and an environment that fosters trust, collaboration, and belonging, aiding attraction, hiring, and retention of top talent.
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 serving as auditor-in-charge
4+ years of experience in banking or financial services, or in a professional services firm 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 performing data analysis in support of internal auditing
Master’s Degree in Accounting, Finance, or MBA
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or CAMS
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 the offices listed in this posting. Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaboration in 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: 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. Publicized ranges are for candidates hired to work in those locations; actual offers reflect the location pay range.
This role is eligible for performance-based incentive compensation, which may include cash bonuses and/or long-term incentives (LTI). Incentives may be discretionary or non-discretionary depending on the plan.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits. 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.
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One promotes a drug-free workplace. Capital One will consider qualified applicants with a criminal history in accordance with applicable laws and regulations.
If you require an accommodation during the recruitment process, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information will be kept confidential and used only to provide needed accommodations.
Careers-related questions: please email Careers@capitalone.com. For technical support or questions about Capital One's recruiting process, please contact Careers@capitalone.com.
Capital One does not guarantee third-party products or information available through this site. Capital One Financial is composed of several entities; postings may apply to Capital One Canada, Capital One Europe, or Capital One Philippines Service Corp, as applicable.
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Principal Auditor (Experienced Senior Auditor) – Corporate Compliance Audits (Hybrid) Capital One’s Audit function is a dedicated group focused on delivering top-quality assurance services. Auditors operate within a collaborative, agile environment to deliver value-added opinions and recommendations. The team aims to provide independent, proactive insights and to innovate with technology while supporting personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal Auditor to 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 the audit lead.
Self-prioritize and effectively plan work activities, managing multiple priorities 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 like to ask questions, test assumptions, and challenge conventional thinking.
You develop influential relationships based on shared risk objectives and trust to deliver business impact and elevate Audit’s value proposition.
You understand that data, innovation, and technology enhance auditing through data analytics and technical expertise.
You mentor others, lead by example, and foster an environment of candor and optimism during change.
You create energy and an environment that fosters trust, collaboration, and belonging, aiding attraction, hiring, and retention of top talent.
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 serving as auditor-in-charge
4+ years of experience in banking or financial services, or in a professional services firm 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 performing data analysis in support of internal auditing
Master’s Degree in Accounting, Finance, or MBA
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or CAMS
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 the offices listed in this posting. Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaboration in 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: 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. Publicized ranges are for candidates hired to work in those locations; actual offers reflect the location pay range.
This role is eligible for performance-based incentive compensation, which may include cash bonuses and/or long-term incentives (LTI). Incentives may be discretionary or non-discretionary depending on the plan.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits. 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.
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One promotes a drug-free workplace. Capital One will consider qualified applicants with a criminal history in accordance with applicable laws and regulations.
If you require an accommodation during the recruitment process, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information will be kept confidential and used only to provide needed accommodations.
Careers-related questions: please email Careers@capitalone.com. For technical support or questions about Capital One's recruiting process, please contact Careers@capitalone.com.
Capital One does not guarantee third-party products or information available through this site. Capital One Financial is composed of several entities; postings may apply to Capital One Canada, Capital One Europe, or Capital One Philippines Service Corp, as applicable.
#J-18808-Ljbffr