Capital One
Senior Staff Auditor, Financial Crimes Compliance (Hybrid)
Capital One, Chicago, Illinois, United States, 60290
Overview
Senior Staff Auditor, Financial Crimes Compliance (Hybrid) 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 both personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Senior Auditor interested in becoming part of our Financial Crimes Compliance (FCC) Audit team. As a member of the FCC Audit team, you will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that inform the annual audit plan. The Senior Auditor will be responsible for maintaining all organizational and professional ethical standards.
Responsibilities
Participate in major components of BSA / AML, Sanctions, and Fraud Compliance audits. Assist in risk assessments of business activities and perform relevant testing based on risks and processes. Communicate issues, risks and recommendations to all levels of management.
Operate independently and ensure work is completed on schedule and meets high-quality standards.
Develop and maintain strong, effective working relationships with key business partners and the extended Audit group.
Leverage data and analytical tools during planning and fieldwork phases of audit delivery.
Proactively follow up on agreed audit actions to ensure management delivers commitments within the agreed timescales.
Proactively seek learning opportunities to enhance skills and competencies related to the role.
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 ask questions, test assumptions, and challenge conventional thinking.
You develop influential relationships based upon shared risk objectives and trust to deliver business impact and elevate Audit’s value proposition.
You understand that data, innovation, and technology enhance auditing, leveraging data analytics and developing technical expertise.
You are a teacher who does the right thing, leads by example, coaches others, and leads through change with candor and optimism.
You create an environment of trust, collaboration, and belonging to attract, hire, and retain top talent.
Qualifications
Basic Qualifications
Bachelor’s Degree or military experience
At least 2 years of experience in auditing, 2 years in accounting, 2 years in financial analysis, 2 years in compliance, and 2 years in Anti-Money Laundering, Fraud, or Sanctions, or a combination
Preferred Qualifications
Master’s Degree in Auditing, Accounting, Information Systems, or MBA
Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification
1+ year of experience in banking or financial services, or in a professional services firm serving large banks, or a combination
1+ year of data analysis experience in support of internal auditing
Additional Details
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 our offices listed in the job posting. Fridays are enterprise-wide virtual work days. Monday through Thursday are in-person days for collaboration in team spaces.
The minimum and maximum full-time annual salaries are listed by location and reflect the amount Capital One is willing to pay at the time of posting. Salaries for part-time roles will be prorated. Locations include: Charlotte, NC; Chicago, IL; McLean, VA; New York, NY; Plano, TX; Richmond, VA; Riverwoods, IL. The actual offer will reflect the location-based pay range for the hire. This role is eligible for performance-based incentives, which may include cash bonuses and/or long-term incentives (LTI). 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 by status and level. This role is expected to accept applications for a minimum of 5 business days. No agencies, please. 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 a manner consistent with applicable laws. If you require an accommodation during the application process, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information provided will be kept confidential to provide needed accommodations. For 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 available through this site. Capital One Financial is composed of several entities. Positions posted in Canada, the United Kingdom, and the Philippines are for Capital One Canada, Capital One Europe, and Capital One Philippines Service Corp. (COPSSC), respectively.
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Senior Staff Auditor, Financial Crimes Compliance (Hybrid) 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 both personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Senior Auditor interested in becoming part of our Financial Crimes Compliance (FCC) Audit team. As a member of the FCC Audit team, you will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that inform the annual audit plan. The Senior Auditor will be responsible for maintaining all organizational and professional ethical standards.
Responsibilities
Participate in major components of BSA / AML, Sanctions, and Fraud Compliance audits. Assist in risk assessments of business activities and perform relevant testing based on risks and processes. Communicate issues, risks and recommendations to all levels of management.
Operate independently and ensure work is completed on schedule and meets high-quality standards.
Develop and maintain strong, effective working relationships with key business partners and the extended Audit group.
Leverage data and analytical tools during planning and fieldwork phases of audit delivery.
Proactively follow up on agreed audit actions to ensure management delivers commitments within the agreed timescales.
Proactively seek learning opportunities to enhance skills and competencies related to the role.
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 ask questions, test assumptions, and challenge conventional thinking.
You develop influential relationships based upon shared risk objectives and trust to deliver business impact and elevate Audit’s value proposition.
You understand that data, innovation, and technology enhance auditing, leveraging data analytics and developing technical expertise.
You are a teacher who does the right thing, leads by example, coaches others, and leads through change with candor and optimism.
You create an environment of trust, collaboration, and belonging to attract, hire, and retain top talent.
Qualifications
Basic Qualifications
Bachelor’s Degree or military experience
At least 2 years of experience in auditing, 2 years in accounting, 2 years in financial analysis, 2 years in compliance, and 2 years in Anti-Money Laundering, Fraud, or Sanctions, or a combination
Preferred Qualifications
Master’s Degree in Auditing, Accounting, Information Systems, or MBA
Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification
1+ year of experience in banking or financial services, or in a professional services firm serving large banks, or a combination
1+ year of data analysis experience in support of internal auditing
Additional Details
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 our offices listed in the job posting. Fridays are enterprise-wide virtual work days. Monday through Thursday are in-person days for collaboration in team spaces.
The minimum and maximum full-time annual salaries are listed by location and reflect the amount Capital One is willing to pay at the time of posting. Salaries for part-time roles will be prorated. Locations include: Charlotte, NC; Chicago, IL; McLean, VA; New York, NY; Plano, TX; Richmond, VA; Riverwoods, IL. The actual offer will reflect the location-based pay range for the hire. This role is eligible for performance-based incentives, which may include cash bonuses and/or long-term incentives (LTI). 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 by status and level. This role is expected to accept applications for a minimum of 5 business days. No agencies, please. 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 a manner consistent with applicable laws. If you require an accommodation during the application process, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information provided will be kept confidential to provide needed accommodations. For 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 available through this site. Capital One Financial is composed of several entities. Positions posted in Canada, the United Kingdom, and the Philippines are for Capital One Canada, Capital One Europe, and Capital One Philippines Service Corp. (COPSSC), respectively.
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