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. Inspired by our colleagues, we are risk identifiers, challengers, influencers, and transformational leaders who drive impactful work for the enterprise.
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.
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. 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. Deliver appropriate, succinct and organized information, tailoring communication style to audience. Requirements:
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 Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Chartered Financial Analyst (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 Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.
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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. 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. Deliver appropriate, succinct and organized information, tailoring communication style to audience. Requirements:
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 Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Chartered Financial Analyst (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 Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.
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