Capital One
Audit Director, Financial Crimes Compliance
Capital One, Charlotte, North Carolina, United States, 28245
Audit Director, Financial Crimes Compliance
Capital One is inviting applications for the position of Audit Director, Financial Crimes Compliance.
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, operating within a collaborative, agile environment to deliver value‑added opinions and recommendations.
We’re seeking an energetic, self‑motivated Director who is passionate about financial crimes compliance. As part of the FCC Audit team, the candidate will focus on all aspects of financial crimes compliance across the bank, designing and executing a risk‑based testing strategy to ensure AML, sanctions, and fraud risk management are effective across all lines of business within Capital One, and providing input into the ongoing audit plan.
Responsibilities
Lead and/or execute compliance‑related audits within Capital One, including supervising audit staff on engagements.
Proactively monitor the assigned audit universe for changing risks and update audit plans.
Direct business unit and project audits across assigned portfolios.
Review engagement planning documentation and audit programs to ensure adequate coverage and sufficient rationale for audit scope.
Supervise and coordinate work assignments, providing on‑the‑job training and coaching to audit staff.
Establish relationships with key business and audit partners, represent internal audit at management meetings, and at external organizations.
Assess relevance of audit findings, materiality, exposure, and trends.
Deliver concise, organized audit reports tailored to audience, communicating complex results and implications.
Manage the timely, high‑quality delivery of multiple tasks, including audits, projects, and special assignments.
Qualifications Basic Qualifications
Bachelor’s degree or equivalent military experience.
At least 10 years’ experience in auditing, compliance, or risk management.
At least 5 years’ experience in AML, sanctions, and fraud compliance.
At least 5 years’ experience in banking or financial services.
At least 3 years’ experience leading people and managing audit engagements.
Preferred Qualifications
Master’s degree in Accounting, Finance, Economics, or Business Administration.
Professional certifications such as CAMS, CFE, CIA, CPA, or CRCM.
Experience with consumer compliance, privacy, and conduct risk management.
15+ years of experience in internal auditing, regulatory compliance, or risk management.
7+ years of experience in leadership roles.
10+ years of experience with BSA, AML, PATRIOT Act, and OFAC requirements.
Experience conducting international audits and interacting with foreign regulators.
3+ years of experience with data‑analytics tools in internal audit.
Travel Expectations The associate will be expected to travel an average of 10–15% of the time. The role is hybrid; associates are expected to spend a minimum of three days per week in person at the Capital One office, with Fridays as enterprise‑wide virtual work days.
Salary and Benefits Full‑time annual salary ranges by location include: Charlotte, NC – $181,800 to $207,500; Chicago, IL – $181,800 to $207,500; McLean, VA – $200,100 to $228,400; New York, NY – $218,300 to $249,100; Plano, TX – $181,800 to $207,500; Richmond, VA – $181,800 to $207,500; Riverwoods, IL – $181,800 to $207,500. The role is eligible for performance‑based incentive compensation, including cash bonuses and long‑term incentives.
EEO Statement Capital One is an equal‑opportunity employer. We are committed to non‑discrimination in compliance with all applicable federal, state, and local laws.
For technical support or questions about Capital One’s recruiting process, please email Careers@capitalone.com.
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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, operating within a collaborative, agile environment to deliver value‑added opinions and recommendations.
We’re seeking an energetic, self‑motivated Director who is passionate about financial crimes compliance. As part of the FCC Audit team, the candidate will focus on all aspects of financial crimes compliance across the bank, designing and executing a risk‑based testing strategy to ensure AML, sanctions, and fraud risk management are effective across all lines of business within Capital One, and providing input into the ongoing audit plan.
Responsibilities
Lead and/or execute compliance‑related audits within Capital One, including supervising audit staff on engagements.
Proactively monitor the assigned audit universe for changing risks and update audit plans.
Direct business unit and project audits across assigned portfolios.
Review engagement planning documentation and audit programs to ensure adequate coverage and sufficient rationale for audit scope.
Supervise and coordinate work assignments, providing on‑the‑job training and coaching to audit staff.
Establish relationships with key business and audit partners, represent internal audit at management meetings, and at external organizations.
Assess relevance of audit findings, materiality, exposure, and trends.
Deliver concise, organized audit reports tailored to audience, communicating complex results and implications.
Manage the timely, high‑quality delivery of multiple tasks, including audits, projects, and special assignments.
Qualifications Basic Qualifications
Bachelor’s degree or equivalent military experience.
At least 10 years’ experience in auditing, compliance, or risk management.
At least 5 years’ experience in AML, sanctions, and fraud compliance.
At least 5 years’ experience in banking or financial services.
At least 3 years’ experience leading people and managing audit engagements.
Preferred Qualifications
Master’s degree in Accounting, Finance, Economics, or Business Administration.
Professional certifications such as CAMS, CFE, CIA, CPA, or CRCM.
Experience with consumer compliance, privacy, and conduct risk management.
15+ years of experience in internal auditing, regulatory compliance, or risk management.
7+ years of experience in leadership roles.
10+ years of experience with BSA, AML, PATRIOT Act, and OFAC requirements.
Experience conducting international audits and interacting with foreign regulators.
3+ years of experience with data‑analytics tools in internal audit.
Travel Expectations The associate will be expected to travel an average of 10–15% of the time. The role is hybrid; associates are expected to spend a minimum of three days per week in person at the Capital One office, with Fridays as enterprise‑wide virtual work days.
Salary and Benefits Full‑time annual salary ranges by location include: Charlotte, NC – $181,800 to $207,500; Chicago, IL – $181,800 to $207,500; McLean, VA – $200,100 to $228,400; New York, NY – $218,300 to $249,100; Plano, TX – $181,800 to $207,500; Richmond, VA – $181,800 to $207,500; Riverwoods, IL – $181,800 to $207,500. The role is eligible for performance‑based incentive compensation, including cash bonuses and long‑term incentives.
EEO Statement Capital One is an equal‑opportunity employer. We are committed to non‑discrimination in compliance with all applicable federal, state, and local laws.
For technical support or questions about Capital One’s recruiting process, please email Careers@capitalone.com.
#J-18808-Ljbffr