Capital One
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. 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 personal growth and professional opportunity. Capital One is seeking an energetic and self-motivated Audit Director to join its Commercial Bank Audit team. This key role is responsible for overseeing all facets of audit deliverables, with a specific focus on Capital One\'s Commercial Capital Markets, Swap Dealer, Treasury Management, and Lending portfolios as well as people leadership responsibilities. The Director will ensure adherence to internal policies, regulatory requirements, and industry best practices, identifying potential risks, assessing control effectiveness, and recommending improvements. Importantly, the Director will also be responsible for managing and leading a team of auditors that meets the bank’s high bar for people leadership and culture. Beyond audit execution, the Director will play a crucial role in the strategic development of the annual audit plan. This includes providing valuable input based on a comprehensive understanding of the commercial landscape, emerging risks, and business priorities, contributing to a proactive audit approach that adequately covers critical areas. A core responsibility of this role is ensuring the Audit team consistently maintains compliance with all organizational and professional ethical standards. This involves fostering a culture of integrity, objectivity, and independence within the team, and ensuring all audit activities are conducted in accordance with established guidelines and professional auditing standards. The Director will serve as a guardian of ethical conduct, upholding the highest standards of the profession. Responsibilities
Lead and/or execute operational related audits within Capital One, including the supervision of audit staff on related audit engagements. Proactively monitor the assigned audit universe for changing risks and needed updates. Lead continuous monitoring activities and updates to risk assessments, audit universe, and audit plan. Review engagement planning documentation and audit programs to ensure adequate coverage of risk and sufficient rationale for audit scope. Supervise and coordinate work assignments amongst audit team members. Provide timely feedback, on-the-job training and coaching to audit staff and direct reports. Establish and maintain good relationships with key business and audit partners. Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus. Effectively represent internal audit at management meetings, internal forums, and to external organizations. Provide subject matter expertise to audit partners and ensure comprehensive audit coverage of owned risk domains. Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues. Interpret business priorities, anticipate issues and obstacles, and apply to scope of role. Deliver appropriate, succinct and organized information, tailoring communication style to audience. Effectively review and compile relevant, material findings and recommendations into readable and concise audit reports. Communicate complex results and implications, incorporating different perspectives into deliverables. Manage timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department. Demonstrate the ability to successfully meet deadlines. What we’re looking for in an ideal teammate
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 the effectiveness and efficiency of Capital One\'s 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’re a firm believer that a rich understanding of data, innovation, and technology will only make you a better auditor. This will require leveraging the power of data analytics and furthering your technical expertise. You’re a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism. You create energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent. Work arrangment
This role is hybrid meaning associates typically 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 the in-person days available for associates to spend time together working in our beautifully-designed team areas. Basic Qualifications
Bachelor’s degree or military experience At least 10 years of experience in auditing Commercial Banking lines of business (Lending, Capital Markets, Swap Dealer) At least 5 years of experience in banking or financial services At least 3 years of experience in people management At least 3 years of experience managing audit engagements Preferred Qualifications
Master’s Degree in Accounting, Finance, Economics, or Business Administration Professional certification such as CPA, CIA, CFA or a relevant certification. 12+ years of experience in internal auditing, first or second line or a combination 7+ years of experience in banking or financial services 7+ years of experience in leadership or supervisory roles 1+ years of experience performing data analysis in support of internal auditing At this time, Capital One will not sponsor a new applicant for employment authorization for this position. 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 hours worked. Charlotte, NC: $181,800 - $207,500; Chicago, IL: $181,800 - $207,500; McLean, VA: $200,100 - $228,400; New York, NY: $218,300 - $249,100; Plano, TX: $181,800 - $207,500; Richmond, VA: $181,800 - $207,500; Riverwoods, IL: $181,800 - $207,500. Candidiates hired in other locations will be paid according to that location’s range. This role is eligible for performance-based incentive compensation (cash bonuses and/or long-term incentives). Capital One offers a comprehensive, inclusive set of health, financial and other benefits. Eligibility varies based on status. This role is expected to accept applications for a minimum of 5 business days. No agencies. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination. Capital One will consider qualified applicants with criminal histories in a manner consistent with applicable laws. If you require accommodation, contact 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. Capital One Financial is made up of several entities. Positions posted in Canada are for Capital One Canada, in the United Kingdom for Capital One Europe, and in the Philippines for Capital One Philippines Service Corp. (COPSSC).
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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 personal growth and professional opportunity. Capital One is seeking an energetic and self-motivated Audit Director to join its Commercial Bank Audit team. This key role is responsible for overseeing all facets of audit deliverables, with a specific focus on Capital One\'s Commercial Capital Markets, Swap Dealer, Treasury Management, and Lending portfolios as well as people leadership responsibilities. The Director will ensure adherence to internal policies, regulatory requirements, and industry best practices, identifying potential risks, assessing control effectiveness, and recommending improvements. Importantly, the Director will also be responsible for managing and leading a team of auditors that meets the bank’s high bar for people leadership and culture. Beyond audit execution, the Director will play a crucial role in the strategic development of the annual audit plan. This includes providing valuable input based on a comprehensive understanding of the commercial landscape, emerging risks, and business priorities, contributing to a proactive audit approach that adequately covers critical areas. A core responsibility of this role is ensuring the Audit team consistently maintains compliance with all organizational and professional ethical standards. This involves fostering a culture of integrity, objectivity, and independence within the team, and ensuring all audit activities are conducted in accordance with established guidelines and professional auditing standards. The Director will serve as a guardian of ethical conduct, upholding the highest standards of the profession. Responsibilities
Lead and/or execute operational related audits within Capital One, including the supervision of audit staff on related audit engagements. Proactively monitor the assigned audit universe for changing risks and needed updates. Lead continuous monitoring activities and updates to risk assessments, audit universe, and audit plan. Review engagement planning documentation and audit programs to ensure adequate coverage of risk and sufficient rationale for audit scope. Supervise and coordinate work assignments amongst audit team members. Provide timely feedback, on-the-job training and coaching to audit staff and direct reports. Establish and maintain good relationships with key business and audit partners. Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus. Effectively represent internal audit at management meetings, internal forums, and to external organizations. Provide subject matter expertise to audit partners and ensure comprehensive audit coverage of owned risk domains. Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues. Interpret business priorities, anticipate issues and obstacles, and apply to scope of role. Deliver appropriate, succinct and organized information, tailoring communication style to audience. Effectively review and compile relevant, material findings and recommendations into readable and concise audit reports. Communicate complex results and implications, incorporating different perspectives into deliverables. Manage timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department. Demonstrate the ability to successfully meet deadlines. What we’re looking for in an ideal teammate
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 the effectiveness and efficiency of Capital One\'s 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’re a firm believer that a rich understanding of data, innovation, and technology will only make you a better auditor. This will require leveraging the power of data analytics and furthering your technical expertise. You’re a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism. You create energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent. Work arrangment
This role is hybrid meaning associates typically 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 the in-person days available for associates to spend time together working in our beautifully-designed team areas. Basic Qualifications
Bachelor’s degree or military experience At least 10 years of experience in auditing Commercial Banking lines of business (Lending, Capital Markets, Swap Dealer) At least 5 years of experience in banking or financial services At least 3 years of experience in people management At least 3 years of experience managing audit engagements Preferred Qualifications
Master’s Degree in Accounting, Finance, Economics, or Business Administration Professional certification such as CPA, CIA, CFA or a relevant certification. 12+ years of experience in internal auditing, first or second line or a combination 7+ years of experience in banking or financial services 7+ years of experience in leadership or supervisory roles 1+ years of experience performing data analysis in support of internal auditing At this time, Capital One will not sponsor a new applicant for employment authorization for this position. 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 hours worked. Charlotte, NC: $181,800 - $207,500; Chicago, IL: $181,800 - $207,500; McLean, VA: $200,100 - $228,400; New York, NY: $218,300 - $249,100; Plano, TX: $181,800 - $207,500; Richmond, VA: $181,800 - $207,500; Riverwoods, IL: $181,800 - $207,500. Candidiates hired in other locations will be paid according to that location’s range. This role is eligible for performance-based incentive compensation (cash bonuses and/or long-term incentives). Capital One offers a comprehensive, inclusive set of health, financial and other benefits. Eligibility varies based on status. This role is expected to accept applications for a minimum of 5 business days. No agencies. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination. Capital One will consider qualified applicants with criminal histories in a manner consistent with applicable laws. If you require accommodation, contact 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. Capital One Financial is made up of several entities. Positions posted in Canada are for Capital One Canada, in the United Kingdom for Capital One Europe, and in the Philippines for Capital One Philippines Service Corp. (COPSSC).
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