Capital One
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One, Charlotte, North Carolina, United States, 28245
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, 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 Principal Auditor interested in becoming part of our Financial Crimes Compliance (FCC) Audit team. As a member of the Financial Crimes Compliance Audit team, you will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that provide input to the annual audit plan. The Principal Auditor will be responsible for maintaining all organizational and professional ethical standards.
Responsibilities Participate in major components of business units and lead small to medium size BSA/AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and perform relevant testing based on the risks and processes associated with the area being audited. Assist in communicating issues, risks and recommendations to all levels of management.
Operate independently and ensure work is completed to schedule and meets our high-quality standards.
Develop and maintain strong and effective working relationships with key business partners and the extended Audit group.
Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery.
Proactively follow-up on agreed audit actions to ensure management delivers their commitments within the agreed timescales.
Proactively seek out learning opportunities to enhance skills and competencies related to role.
Qualifications
Basic Qualifications Bachelor's Degree or military experience
At least 3 years of experience in auditing, Anti-Money Laundering, Fraud or Sanctions, or a combination
Preferred Qualifications Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), or Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification
4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination
1+ years of experience performing data analysis in support of internal auditing
Employment Details
This role is hybrid, meaning associates will spend 3 days per week in-person at one of our offices listed on this job posting. Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days to collaborate in our team spaces.
Location and Salary
The minimum and maximum full-time annual salaries for this role are location-based. Salaries for part-time roles will be prorated. Example ranges for principal auditors by location include:
Charlotte, NC: $106,700 – $121,700
Chicago, IL: $106,700 – $121,700
McLean, VA: $117,300 – $133,900
New York, NY: $128,000 – $146,100
Plano, TX: $106,700 – $121,700
Richmond, VA: $106,700 – $121,700
Riverwoods, IL: $106,700 – $121,700
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits. Eligibility varies by status. This role is eligible for performance-based incentives, which may include cash bonuses and/or long-term incentives.
EEO and Application Details
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. No agencies please. This role is expected to accept applications for a minimum of 5 business days. If you require an accommodation during the application process, contact RecruitingAccommodation@capitalone.com. For technical support questions about Capital One's recruiting process, email Careers@capitalone.com.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Accounting/Auditing and Finance
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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, 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 Principal Auditor interested in becoming part of our Financial Crimes Compliance (FCC) Audit team. As a member of the Financial Crimes Compliance Audit team, you will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that provide input to the annual audit plan. The Principal Auditor will be responsible for maintaining all organizational and professional ethical standards.
Responsibilities Participate in major components of business units and lead small to medium size BSA/AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and perform relevant testing based on the risks and processes associated with the area being audited. Assist in communicating issues, risks and recommendations to all levels of management.
Operate independently and ensure work is completed to schedule and meets our high-quality standards.
Develop and maintain strong and effective working relationships with key business partners and the extended Audit group.
Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery.
Proactively follow-up on agreed audit actions to ensure management delivers their commitments within the agreed timescales.
Proactively seek out learning opportunities to enhance skills and competencies related to role.
Qualifications
Basic Qualifications Bachelor's Degree or military experience
At least 3 years of experience in auditing, Anti-Money Laundering, Fraud or Sanctions, or a combination
Preferred Qualifications Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), or Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification
4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination
1+ years of experience performing data analysis in support of internal auditing
Employment Details
This role is hybrid, meaning associates will spend 3 days per week in-person at one of our offices listed on this job posting. Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days to collaborate in our team spaces.
Location and Salary
The minimum and maximum full-time annual salaries for this role are location-based. Salaries for part-time roles will be prorated. Example ranges for principal auditors by location include:
Charlotte, NC: $106,700 – $121,700
Chicago, IL: $106,700 – $121,700
McLean, VA: $117,300 – $133,900
New York, NY: $128,000 – $146,100
Plano, TX: $106,700 – $121,700
Richmond, VA: $106,700 – $121,700
Riverwoods, IL: $106,700 – $121,700
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits. Eligibility varies by status. This role is eligible for performance-based incentives, which may include cash bonuses and/or long-term incentives.
EEO and Application Details
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. No agencies please. This role is expected to accept applications for a minimum of 5 business days. If you require an accommodation during the application process, contact RecruitingAccommodation@capitalone.com. For technical support questions about Capital One's recruiting process, email Careers@capitalone.com.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Accounting/Auditing and Finance
#J-18808-Ljbffr