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, operating within a collaborative, agile environment to deliver value-added opinions and recommendations. The function aims to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creating a dynamic atmosphere for growth and professional opportunity. We are seeking an energetic, self-motivated Audit Director for the Financial Crimes Compliance (FCC) Audit team. The Director will focus on all aspects of financial crimes compliance across the bank, designing and executing a risk-based testing strategy to ensure AML, Sanctions and Fraud risk management is effective across all lines of business. The Director will contribute to the development of the audit plan and ensure a comprehensive understanding of the AML, Sanctions and Fraud risk profile of the audit universe. This role will be hired as a Capital One associate with a near-term focus on audit execution and delivery for Discover Financial Services as part of an integration effort. Responsibilities
Lead and/or execute compliance related audits within Capital One, including supervision of audit staff on related engagements. Proactively monitor the assigned audit universe for changing risks and update risk assessments, audit universe and audit plan. Direct business unit and project audits across assigned portfolios. Review engagement planning documentation and audit programs to ensure adequate coverage of risk and appropriate audit scope. Supervise and coordinate work assignments among audit team members; provide timely feedback, on-the-job training and coaching to audit staff and direct reports. Establish and maintain relationships with key business and audit partners; represent internal audit at management meetings, internal forums, and with external organizations. Assess relevance of audit findings and exposures; interpret business priorities and apply them to the scope of the role. Deliver clear, organized findings and recommendations in audit reports; tailor communication to the audience and present complex results effectively. Manage timely and quality delivery of multiple tasks, including audits, projects, and administrative activities; self-prioritize and meet deadlines. Ideal teammate
You are a critical thinker who seeks to understand the business and its control environment. You value insight and objectivity in providing assurance on governance, risk management, and controls. You maintain a relentless focus on quality and timeliness. You adapt to change, embrace bold ideas, and are intellectually curious. You develop influential relationships based on shared risk objectives and trust to deliver impact. You recognize the value of data, innovation, and technology in auditing and leverage data analytics and technical skills. You mentor and coach, lead through change with candor and optimism, and promote a culture of trust and collaboration. You create an environment that attracts, hires, and retains top talent. Travel Expectations
The associate is expected to travel an average of 10-15% of the time. This role is hybrid: a minimum of 3 days per week in-person at an office listed in the posting, with Fridays as enterprise-wide virtual work days. Basic Qualifications
Bachelor’s degree or military experience At least 10 years in auditing, or in compliance, or in risk management At least 5 years in Anti-Money Laundering (AML), Sanctions and Fraud compliance At least 5 years in banking or financial services At least 3 years 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 Certifications such as CAMS, CFE, CIA, CPA, or CRCM Experience with consumer compliance, privacy and conduct risk management 10+ years of experience in internal auditing, regulatory compliance, risk management, or a combination 7+ years of banking or financial services 7+ years in leadership or supervisory roles 10+ years of BSA/AML, US PATRIOT Act, and OFAC requirements 1+ years of experience conducting international audits and interacting with regulators 3+ years of experience with data analytics tools in internal audit 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 pertain to work within the listed locations and may vary by location. Part-time salaries will be prorated based on 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. Candidates hired to work in other locations will receive the pay range for that location. This role may be eligible for performance-based incentives, including cash bonuses and/or long-term incentives. Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits. Eligibility varies by status and level. For accommodations in the recruitment process, please contact Recruiting at Capital One. Capital One is an equal opportunity employer. We consider qualified applicants without regard to race, color, religion, sex, national origin, age, disability, or veteran status. We maintain a drug-free workplace and consider applicants with criminal histories in accordance with applicable laws. For accessibility assistance, please contact Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. For technical questions about the recruiting process, email Careers@capitalone.com. Capital One does not guarantee any third-party products or services described in this posting, and the posting may be updated without notice. Capital One is composed of multiple legal entities; postings in Canada, the United Kingdom, and the Philippines reflect respective Capital One entities.
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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, operating within a collaborative, agile environment to deliver value-added opinions and recommendations. The function aims to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creating a dynamic atmosphere for growth and professional opportunity. We are seeking an energetic, self-motivated Audit Director for the Financial Crimes Compliance (FCC) Audit team. The Director will focus on all aspects of financial crimes compliance across the bank, designing and executing a risk-based testing strategy to ensure AML, Sanctions and Fraud risk management is effective across all lines of business. The Director will contribute to the development of the audit plan and ensure a comprehensive understanding of the AML, Sanctions and Fraud risk profile of the audit universe. This role will be hired as a Capital One associate with a near-term focus on audit execution and delivery for Discover Financial Services as part of an integration effort. Responsibilities
Lead and/or execute compliance related audits within Capital One, including supervision of audit staff on related engagements. Proactively monitor the assigned audit universe for changing risks and update risk assessments, audit universe and audit plan. Direct business unit and project audits across assigned portfolios. Review engagement planning documentation and audit programs to ensure adequate coverage of risk and appropriate audit scope. Supervise and coordinate work assignments among audit team members; provide timely feedback, on-the-job training and coaching to audit staff and direct reports. Establish and maintain relationships with key business and audit partners; represent internal audit at management meetings, internal forums, and with external organizations. Assess relevance of audit findings and exposures; interpret business priorities and apply them to the scope of the role. Deliver clear, organized findings and recommendations in audit reports; tailor communication to the audience and present complex results effectively. Manage timely and quality delivery of multiple tasks, including audits, projects, and administrative activities; self-prioritize and meet deadlines. Ideal teammate
You are a critical thinker who seeks to understand the business and its control environment. You value insight and objectivity in providing assurance on governance, risk management, and controls. You maintain a relentless focus on quality and timeliness. You adapt to change, embrace bold ideas, and are intellectually curious. You develop influential relationships based on shared risk objectives and trust to deliver impact. You recognize the value of data, innovation, and technology in auditing and leverage data analytics and technical skills. You mentor and coach, lead through change with candor and optimism, and promote a culture of trust and collaboration. You create an environment that attracts, hires, and retains top talent. Travel Expectations
The associate is expected to travel an average of 10-15% of the time. This role is hybrid: a minimum of 3 days per week in-person at an office listed in the posting, with Fridays as enterprise-wide virtual work days. Basic Qualifications
Bachelor’s degree or military experience At least 10 years in auditing, or in compliance, or in risk management At least 5 years in Anti-Money Laundering (AML), Sanctions and Fraud compliance At least 5 years in banking or financial services At least 3 years 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 Certifications such as CAMS, CFE, CIA, CPA, or CRCM Experience with consumer compliance, privacy and conduct risk management 10+ years of experience in internal auditing, regulatory compliance, risk management, or a combination 7+ years of banking or financial services 7+ years in leadership or supervisory roles 10+ years of BSA/AML, US PATRIOT Act, and OFAC requirements 1+ years of experience conducting international audits and interacting with regulators 3+ years of experience with data analytics tools in internal audit 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 pertain to work within the listed locations and may vary by location. Part-time salaries will be prorated based on 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. Candidates hired to work in other locations will receive the pay range for that location. This role may be eligible for performance-based incentives, including cash bonuses and/or long-term incentives. Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits. Eligibility varies by status and level. For accommodations in the recruitment process, please contact Recruiting at Capital One. Capital One is an equal opportunity employer. We consider qualified applicants without regard to race, color, religion, sex, national origin, age, disability, or veteran status. We maintain a drug-free workplace and consider applicants with criminal histories in accordance with applicable laws. For accessibility assistance, please contact Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. For technical questions about the recruiting process, email Careers@capitalone.com. Capital One does not guarantee any third-party products or services described in this posting, and the posting may be updated without notice. Capital One is composed of multiple legal entities; postings in Canada, the United Kingdom, and the Philippines reflect respective Capital One entities.
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