Capital One
Senior Staff Auditor, Financial Crimes Compliance (Hybrid)
Capital One, Plano, Texas, us, 75086
Overview
Senior Staff Auditor, Financial Crimes Compliance (Hybrid) role at Capital One. Capital One’s Audit function provides independent assurance and value-added insights. The Financial Crimes Compliance (FCC) Audit team focuses on BSA/AML, Sanctions, and Fraud Compliance related audit projects to inform the annual audit plan. Responsibilities
Participate in major components of BSA/AML, Sanctions, and Fraud Compliance audits. Assist in performing risk assessments of business activities and execute testing based on risks and processes. Communicate issues, risks, and recommendations to management at various levels. Operate independently to ensure work is completed on schedule and meets high-quality standards. Develop and maintain strong working relationships with key business partners and the extended Audit group. 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 competencies
You are a critical thinker who seeks to understand the business and its control environment. You value insight and objectivity to provide assurance on governance, risk management, and internal controls. You maintain a relentless focus on quality and timeliness. You adapt to change, embrace bold ideas, and are intellectually curious. You ask questions, test assumptions, and challenge conventional thinking. You build influential relationships based on shared risk objectives and trust to deliver business impact. You believe data, innovation, and technology enhance auditing; you will leverage data analytics and develop technical expertise. You are a teacher who coaches and develops your team, leading 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, 2 years in accounting, 2 years in financial analysis, 2 years in compliance, and 2 years in Anti-Money Laundering, Fraud, or Sanctions, or a combination Preferred Qualifications: Master’s Degree in Auditing, Accounting, Information Systems, or MBA Certifications such as CFE, CAMS, CIA, CPA, or relevant 1+ year of experience in banking/financial services or working with large banks 1+ year of experience performing data analysis in support of internal auditing Other 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 per week in-person at an office and Fridays are enterprise-wide virtual work days. Mon–Thu are in-person days in team spaces. Compensation and Benefits The salary range is location-based and listed for candidates hired to work in specific locations. Salaries for part-time roles are prorated. This role is eligible for performance-based incentive compensation. Capital One offers a comprehensive benefits package. Eligibility varies by status and role. Details are available on the Capital One Careers site. Other Information This role is expected to accept applications for a minimum of 5 business days. No agencies. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination. Capital One may consider qualified applicants with criminal histories consistent with applicable laws. Reasonable accommodations available on request. Locations Plan for Plano, TX and other locations as noted in the posting if applicable. Salary information is provided per location in the posting. Additional
Capital One does not provide, endorse, or guarantee third-party products or services. Capital One is a multi-entity organization; postings in Canada, the United Kingdom, and the Philippines refer to Capital One Canada, Capital One Europe, and Capital One Philippines Service Corp. respectively.
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Senior Staff Auditor, Financial Crimes Compliance (Hybrid) role at Capital One. Capital One’s Audit function provides independent assurance and value-added insights. The Financial Crimes Compliance (FCC) Audit team focuses on BSA/AML, Sanctions, and Fraud Compliance related audit projects to inform the annual audit plan. Responsibilities
Participate in major components of BSA/AML, Sanctions, and Fraud Compliance audits. Assist in performing risk assessments of business activities and execute testing based on risks and processes. Communicate issues, risks, and recommendations to management at various levels. Operate independently to ensure work is completed on schedule and meets high-quality standards. Develop and maintain strong working relationships with key business partners and the extended Audit group. 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 competencies
You are a critical thinker who seeks to understand the business and its control environment. You value insight and objectivity to provide assurance on governance, risk management, and internal controls. You maintain a relentless focus on quality and timeliness. You adapt to change, embrace bold ideas, and are intellectually curious. You ask questions, test assumptions, and challenge conventional thinking. You build influential relationships based on shared risk objectives and trust to deliver business impact. You believe data, innovation, and technology enhance auditing; you will leverage data analytics and develop technical expertise. You are a teacher who coaches and develops your team, leading 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, 2 years in accounting, 2 years in financial analysis, 2 years in compliance, and 2 years in Anti-Money Laundering, Fraud, or Sanctions, or a combination Preferred Qualifications: Master’s Degree in Auditing, Accounting, Information Systems, or MBA Certifications such as CFE, CAMS, CIA, CPA, or relevant 1+ year of experience in banking/financial services or working with large banks 1+ year of experience performing data analysis in support of internal auditing Other 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 per week in-person at an office and Fridays are enterprise-wide virtual work days. Mon–Thu are in-person days in team spaces. Compensation and Benefits The salary range is location-based and listed for candidates hired to work in specific locations. Salaries for part-time roles are prorated. This role is eligible for performance-based incentive compensation. Capital One offers a comprehensive benefits package. Eligibility varies by status and role. Details are available on the Capital One Careers site. Other Information This role is expected to accept applications for a minimum of 5 business days. No agencies. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination. Capital One may consider qualified applicants with criminal histories consistent with applicable laws. Reasonable accommodations available on request. Locations Plan for Plano, TX and other locations as noted in the posting if applicable. Salary information is provided per location in the posting. Additional
Capital One does not provide, endorse, or guarantee third-party products or services. Capital One is a multi-entity organization; postings in Canada, the United Kingdom, and the Philippines refer to Capital One Canada, Capital One Europe, and Capital One Philippines Service Corp. respectively.
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