Capital One National Association
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybr
Capital One National Association, Charlotte, North Carolina, United States, 28245
Overview
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid) – Capital One’s Audit function provides independent assurance and strives for high value insights, innovation through technology, and opportunities for professional growth. The role focuses on operations of investment (securities and transactions) within the Audit team. 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 qualifications
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 upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition. You are a firm believer that data, innovation, and technology will enhance your effectiveness as an auditor, including leveraging data analytics and advancing technical expertise. You are a teacher who leads by example, coaches others, and navigates change with candor and optimism. You create an environment that fosters trust, collaboration, and belonging to attract, hire, and retain 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 performing in the role of auditor-in-charge 4+ years of experience in banking, financial services, or in a professional services firm serving large banks, or a combination 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 (Accounting, Finance, or MBA) Certifications such as CIA, CPA, CRCM, or CAMS Note: At this time, Capital One will not sponsor a new applicant for employment authorization for this position. Role details
Hybrid work arrangement: 3 days per week in-person at an office listed in the posting; Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaboration. Minimum to maximum full-time annual salary, by location (for Principal Auditor): 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 Riverwoods, IL: $106,700 - $121,700 Candidates hired to work in other locations will be subject to the pay range associated with that location. Role may be eligible for performance-based incentives (cash bonuses and/or long-term incentives) depending on the plan. Capital One offers a comprehensive benefits package. Eligibility varies by status. For accommodations related to applying, contact Capital One Recruiting. Equal opportunity employer. Capital One complies with applicable laws and may consider applicants with criminal histories in a manner consistent with legal requirements. Learn more about our employment opportunities and accommodations by contacting Capital One Recruiting or Careers teams as appropriate.
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Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid) – Capital One’s Audit function provides independent assurance and strives for high value insights, innovation through technology, and opportunities for professional growth. The role focuses on operations of investment (securities and transactions) within the Audit team. 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 qualifications
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 upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition. You are a firm believer that data, innovation, and technology will enhance your effectiveness as an auditor, including leveraging data analytics and advancing technical expertise. You are a teacher who leads by example, coaches others, and navigates change with candor and optimism. You create an environment that fosters trust, collaboration, and belonging to attract, hire, and retain 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 performing in the role of auditor-in-charge 4+ years of experience in banking, financial services, or in a professional services firm serving large banks, or a combination 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 (Accounting, Finance, or MBA) Certifications such as CIA, CPA, CRCM, or CAMS Note: At this time, Capital One will not sponsor a new applicant for employment authorization for this position. Role details
Hybrid work arrangement: 3 days per week in-person at an office listed in the posting; Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaboration. Minimum to maximum full-time annual salary, by location (for Principal Auditor): 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 Riverwoods, IL: $106,700 - $121,700 Candidates hired to work in other locations will be subject to the pay range associated with that location. Role may be eligible for performance-based incentives (cash bonuses and/or long-term incentives) depending on the plan. Capital One offers a comprehensive benefits package. Eligibility varies by status. For accommodations related to applying, contact Capital One Recruiting. Equal opportunity employer. Capital One complies with applicable laws and may consider applicants with criminal histories in a manner consistent with legal requirements. Learn more about our employment opportunities and accommodations by contacting Capital One Recruiting or Careers teams as appropriate.
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