Capital One
Senior Staff Auditor, Financial Crimes Compliance (Hybrid)
Capital One, Charlotte, North Carolina, United States, 28245
Overview
Senior Staff Auditor, Financial Crimes Compliance (Hybrid) Capital One's Audit function provides independent assurance and seeks to deliver high-value insights through a collaborative, agile environment. The Senior Auditor will join the Financial Crimes Compliance (FCC) Audit team, focusing on BSA/AML, Sanctions, and Fraud Compliance related audit projects and contributing to the annual audit plan. The role requires maintaining 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 identified risks and processes. Communicate issues, risks, and recommendations to management at all levels. Operate independently to ensure work is completed on schedule and aligned with quality standards. Develop and maintain strong working relationships with key business partners and the broader Audit team. 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. 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 to providing assurance on governance, risk management, and internal control processes. You maintain 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 effectiveness, including data analytics and technical expertise. You are a teacher who leads by example, coaches others, and guides teams through change with candor and optimism. You foster an environment of trust, collaboration, and belonging to attract and retain top talent. Qualifications
Basic Qualifications:
Bachelor\'s Degree or military experience; at least 2 years of experience in auditing, accounting, financial analysis, and compliance; experience in Anti-Money Laundering, Fraud, or Sanctions, or a combination thereof. Preferred Qualifications:
Master\'s Degree (Auditing, Accounting, Information Systems, or MBA); certifications such as CFE, CAMS, CIA, CPA or equivalent; 1+ year of banking/financial services experience or with large banks; 1+ year of data analysis experience in 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: associates spend 3 days/week in-person at an office, with Fridays as enterprise-wide virtual work days. In-person days are Monday–Thursday. The salary is listed by location for full-time roles and prorated for part-time roles; the offer will reflect the actual location pay range. The role may be eligible for performance-based incentives (cash bonuses and/or long-term incentives). Capital One offers a comprehensive benefits package; eligibility varies by status. For accommodations during the application process, contact Recruiting at Capital One. Capital One is an equal opportunity employer and will consider qualified applicants in a manner consistent with applicable laws. Background inquiries and accommodations comply with legal requirements.
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Senior Staff Auditor, Financial Crimes Compliance (Hybrid) Capital One's Audit function provides independent assurance and seeks to deliver high-value insights through a collaborative, agile environment. The Senior Auditor will join the Financial Crimes Compliance (FCC) Audit team, focusing on BSA/AML, Sanctions, and Fraud Compliance related audit projects and contributing to the annual audit plan. The role requires maintaining 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 identified risks and processes. Communicate issues, risks, and recommendations to management at all levels. Operate independently to ensure work is completed on schedule and aligned with quality standards. Develop and maintain strong working relationships with key business partners and the broader Audit team. 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. 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 to providing assurance on governance, risk management, and internal control processes. You maintain 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 effectiveness, including data analytics and technical expertise. You are a teacher who leads by example, coaches others, and guides teams through change with candor and optimism. You foster an environment of trust, collaboration, and belonging to attract and retain top talent. Qualifications
Basic Qualifications:
Bachelor\'s Degree or military experience; at least 2 years of experience in auditing, accounting, financial analysis, and compliance; experience in Anti-Money Laundering, Fraud, or Sanctions, or a combination thereof. Preferred Qualifications:
Master\'s Degree (Auditing, Accounting, Information Systems, or MBA); certifications such as CFE, CAMS, CIA, CPA or equivalent; 1+ year of banking/financial services experience or with large banks; 1+ year of data analysis experience in 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: associates spend 3 days/week in-person at an office, with Fridays as enterprise-wide virtual work days. In-person days are Monday–Thursday. The salary is listed by location for full-time roles and prorated for part-time roles; the offer will reflect the actual location pay range. The role may be eligible for performance-based incentives (cash bonuses and/or long-term incentives). Capital One offers a comprehensive benefits package; eligibility varies by status. For accommodations during the application process, contact Recruiting at Capital One. Capital One is an equal opportunity employer and will consider qualified applicants in a manner consistent with applicable laws. Background inquiries and accommodations comply with legal requirements.
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