Capital One
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One, Charlotte, North Carolina, United States, 28245
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Join to apply for the
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
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. Audit's vision to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creates 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.
Ideal teammate characteristics
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 business impact.
You understand that data, innovation, and technology enhance auditing through data analytics and technical expertise.
You are a teacher who leads by example and is committed to coaching and developing your team.
You create an environment of trust, collaboration, and belonging to attract and retain top talent.
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), CAMS, CRCM, CIA, or relevant certification
4+ years of experience in banking or financial services, or in a professional services firm serving large banks
1+ years of experience performing data analysis in support of internal auditing
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Work arrangement and compensation 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. The remaining days are in-person days for collaboration in team spaces.
The minimum and maximum full-time annual salaries for this role are location-based. Salaries for part-time roles will be prorated. This role is eligible to earn performance-based incentives, which may include cash bonuses and/or long-term incentives (LTI).
Location-based salary ranges 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
Candidates hired to work in other locations will be subject to the pay range for that location.
Capital One offers a comprehensive, inclusive set of health, financial, and other benefits. Eligibility varies based on full- or part-time status and other factors. For accommodations in the hiring process, contact Recruiting Accommodation.
Equal Opportunity Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One is a drug-free workplace.
Application This role is expected to accept applications for a minimum of 5 business days. No agencies, please.
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Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
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. Audit's vision to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creates 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.
Ideal teammate characteristics
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 business impact.
You understand that data, innovation, and technology enhance auditing through data analytics and technical expertise.
You are a teacher who leads by example and is committed to coaching and developing your team.
You create an environment of trust, collaboration, and belonging to attract and retain top talent.
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), CAMS, CRCM, CIA, or relevant certification
4+ years of experience in banking or financial services, or in a professional services firm serving large banks
1+ years of experience performing data analysis in support of internal auditing
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Work arrangement and compensation 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. The remaining days are in-person days for collaboration in team spaces.
The minimum and maximum full-time annual salaries for this role are location-based. Salaries for part-time roles will be prorated. This role is eligible to earn performance-based incentives, which may include cash bonuses and/or long-term incentives (LTI).
Location-based salary ranges 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
Candidates hired to work in other locations will be subject to the pay range for that location.
Capital One offers a comprehensive, inclusive set of health, financial, and other benefits. Eligibility varies based on full- or part-time status and other factors. For accommodations in the hiring process, contact Recruiting Accommodation.
Equal Opportunity Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One is a drug-free workplace.
Application This role is expected to accept applications for a minimum of 5 business days. No agencies, please.
#J-18808-Ljbffr