Capital One
Senior Staff Auditor, Financial Crimes Compliance (Hybrid)
Capital One, Chicago, Illinois, United States, 60290
Senior Staff Auditor, Financial Crimes Compliance (Hybrid)
Capital One’s Audit function is a dedicated group delivering high-quality assurance to the organization’s Audit Committee. The team operates in a collaborative, agile environment to provide value-added opinions and recommendations, and aims to be a top-notch talent destination for personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Senior Auditor to join the Financial Crimes Compliance (FCC) Audit team. The Senior Auditor will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that inform the annual audit plan, while 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 testing based on risks and processes. Communicate issues, risks, and recommendations to all levels of management. Operate independently to ensure work is completed on schedule and meets high-quality standards. Develop and maintain strong 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 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 controls. You possess 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 business impact. You value data, innovation, and technology to enhance auditing through analytics and technical proficiency. You are a teacher who leads by example, coaches others, and guides through change with candor and optimism. You foster an environment of trust, collaboration, and belonging to attract and retain top talent. Basic Qualifications
Bachelor's Degree or military experience Minimum of 2 years of experience in auditing Minimum of 2 years of experience in accounting Minimum of 2 years of experience in financial analysis Minimum of 2 years of experience in compliance, including Anti-Money Laundering, Fraud, or Sanctions, or a combination Preferred Qualifications
Master’s Degree in Auditing, Accounting, Information Systems, or MBA Certifications such as CFE, CAMS, CIA, CPA, or relevant 1+ year of experience in banking or financial services, including work with large banks or professional services 1+ year of data analysis experience in internal auditing At this time, Capital One will not sponsor a new applicant for employment authorization for this position. This role is hybrid: associates spend 3 days per week in-person at an office listed in this posting; Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaboration in team spaces. The minimum and maximum full-time annual salaries are location-based. Salaries for part-time roles will be prorated. Locations and ranges include: Charlotte, NC; Chicago, IL; McLean, VA; New York, NY; Plano, TX; Richmond, VA; Riverwoods, IL. Salaries for other locations follow the applicable pay range. This role may be eligible for performance-based incentives including cash bonuses and/or long-term incentives depending on the plan. Capital One offers a comprehensive benefits package. Eligibility varies by status and role. This role is expected to be open to 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 in compliance with applicable laws. Capital One maintains a drug-free workplace and adheres to applicable background-check regulations. If accommodations are required during the application process, contact RecruitingAccommodation@capitalone.com. For technical support or questions about the recruiting process, email Careers@capitalone.com. Capital One does not endorse third-party products or services advertised on this site. Positions posted in other countries refer to the respective Capital One entities.
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Capital One’s Audit function is a dedicated group delivering high-quality assurance to the organization’s Audit Committee. The team operates in a collaborative, agile environment to provide value-added opinions and recommendations, and aims to be a top-notch talent destination for personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Senior Auditor to join the Financial Crimes Compliance (FCC) Audit team. The Senior Auditor will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that inform the annual audit plan, while 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 testing based on risks and processes. Communicate issues, risks, and recommendations to all levels of management. Operate independently to ensure work is completed on schedule and meets high-quality standards. Develop and maintain strong 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 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 controls. You possess 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 business impact. You value data, innovation, and technology to enhance auditing through analytics and technical proficiency. You are a teacher who leads by example, coaches others, and guides through change with candor and optimism. You foster an environment of trust, collaboration, and belonging to attract and retain top talent. Basic Qualifications
Bachelor's Degree or military experience Minimum of 2 years of experience in auditing Minimum of 2 years of experience in accounting Minimum of 2 years of experience in financial analysis Minimum of 2 years of experience in compliance, including Anti-Money Laundering, Fraud, or Sanctions, or a combination Preferred Qualifications
Master’s Degree in Auditing, Accounting, Information Systems, or MBA Certifications such as CFE, CAMS, CIA, CPA, or relevant 1+ year of experience in banking or financial services, including work with large banks or professional services 1+ year of data analysis experience in internal auditing At this time, Capital One will not sponsor a new applicant for employment authorization for this position. This role is hybrid: associates spend 3 days per week in-person at an office listed in this posting; Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaboration in team spaces. The minimum and maximum full-time annual salaries are location-based. Salaries for part-time roles will be prorated. Locations and ranges include: Charlotte, NC; Chicago, IL; McLean, VA; New York, NY; Plano, TX; Richmond, VA; Riverwoods, IL. Salaries for other locations follow the applicable pay range. This role may be eligible for performance-based incentives including cash bonuses and/or long-term incentives depending on the plan. Capital One offers a comprehensive benefits package. Eligibility varies by status and role. This role is expected to be open to 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 in compliance with applicable laws. Capital One maintains a drug-free workplace and adheres to applicable background-check regulations. If accommodations are required during the application process, contact RecruitingAccommodation@capitalone.com. For technical support or questions about the recruiting process, email Careers@capitalone.com. Capital One does not endorse third-party products or services advertised on this site. Positions posted in other countries refer to the respective Capital One entities.
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