Capital One
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybr
Capital One, New York, New York, us, 10261
Overview
Join to apply for the
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid)
role at
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. The 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, self-motivated
Principal Auditor
interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on operations of investment (securities and transactions). Responsibilities
Lead small audits, or own completion of significant components of larger audits. Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions and develop audit programs to ensure adequate coverage of risks. Design and execute appropriate audit procedures to verify the effectiveness of internal controls. Document auditee processes and procedures, review and analyze evidence, and identify potential issues. Prepare clear, organized, and complete documentation to support work performed, including draft findings. Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor-in-charge. Self-prioritize and effectively plan work activities, managing multiple priorities and tasks across the team to deliver quality results. Proactively take on additional work to support the team when possible. Provide coaching, on-the-job training, and feedback to audit staff, including junior associates and recent hires. 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 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. You value data, innovation, and technology to enhance auditing through data analytics and technical expertise. You are a teacher who leads by example and invests in the betterment of your team, communicating with candor and optimism. You create an environment that fosters trust, collaboration, and belonging to attract and retain top talent. Qualifications
Basic
Bachelor’s Degree or military experience At least 3 years of experience in auditing, compliance, risk management, accounting, or a combination Preferred
At least 2 years of experience leading audit engagements as auditor-in-charge 4+ years in banking/financial services or professional services serving large banks 4+ years in one or more areas of compliance (consumer, brokerage, wealth management, or trust) 1+ years of experience with data analytics tools in internal auditing Master’s Degree (Accounting, Finance, or MBA) Professional certifications (CIA, CPA, CRCM, CAMS) Work arrangement and eligibility
This role is hybrid; associates spend 3 days per week in-person at one of the offices listed in the posting. Fridays are enterprise-wide virtual work days. The specified locations, salary ranges, and incentive eligibility are as described in the posting. Capital One does not sponsor new employment authorization for this position. Equal Opportunity
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination. Capital One promotes a drug-free workplace and will consider qualified applicants with criminal histories in compliance with applicable laws and regulations. For accommodations in the application process, contact Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com.
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Join to apply for the
Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid)
role at
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. The 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, self-motivated
Principal Auditor
interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on operations of investment (securities and transactions). Responsibilities
Lead small audits, or own completion of significant components of larger audits. Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions and develop audit programs to ensure adequate coverage of risks. Design and execute appropriate audit procedures to verify the effectiveness of internal controls. Document auditee processes and procedures, review and analyze evidence, and identify potential issues. Prepare clear, organized, and complete documentation to support work performed, including draft findings. Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor-in-charge. Self-prioritize and effectively plan work activities, managing multiple priorities and tasks across the team to deliver quality results. Proactively take on additional work to support the team when possible. Provide coaching, on-the-job training, and feedback to audit staff, including junior associates and recent hires. 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 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. You value data, innovation, and technology to enhance auditing through data analytics and technical expertise. You are a teacher who leads by example and invests in the betterment of your team, communicating with candor and optimism. You create an environment that fosters trust, collaboration, and belonging to attract and retain top talent. Qualifications
Basic
Bachelor’s Degree or military experience At least 3 years of experience in auditing, compliance, risk management, accounting, or a combination Preferred
At least 2 years of experience leading audit engagements as auditor-in-charge 4+ years in banking/financial services or professional services serving large banks 4+ years in one or more areas of compliance (consumer, brokerage, wealth management, or trust) 1+ years of experience with data analytics tools in internal auditing Master’s Degree (Accounting, Finance, or MBA) Professional certifications (CIA, CPA, CRCM, CAMS) Work arrangement and eligibility
This role is hybrid; associates spend 3 days per week in-person at one of the offices listed in the posting. Fridays are enterprise-wide virtual work days. The specified locations, salary ranges, and incentive eligibility are as described in the posting. Capital One does not sponsor new employment authorization for this position. Equal Opportunity
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination. Capital One promotes a drug-free workplace and will consider qualified applicants with criminal histories in compliance with applicable laws and regulations. For accommodations in the application process, contact Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com.
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