Capital One
Senior Staff Auditor, Financial Crimes Compliance (Hybrid)
Capital One, Richmond, Virginia, United States, 23214
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 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 Senior 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 Senior Auditor will be responsible for maintaining all organizational and professional ethical standards. Responsibilities
Participate in major components of BSA / AML, Sanctions, and Fraud Compliance audits. Assist in performing 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 on 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 2 years of experience in auditing, at least 2 years of experience in accounting, at least 2 years of experience in financial analysis, at least 2 years of experience in compliance, at least 2 years of experience in Anti-Money Laundering, Fraud or Sanctions, or a combination. Preferred Qualifications
Master’s Degree in Auditing, Master’s Degree in Accounting, Master’s Degree in Information Systems or Master of Business Administration Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification 1+ year 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 Additional Information
At this time, Capital One will not sponsor a new applicant for employment authorization for this position. 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, Tuesday, Wednesday and Thursday are in-person days for associates to spend time together working in our team areas. The minimum and maximum full-time annual salaries for this role are listed below, by location. Salaries for part-time roles will be prorated. This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives (LTI). Locations and salary ranges: Charlotte, NC: $86,000 - $98,200; Chicago, IL: $86,000 - $98,200; McLean, VA: $94,600 - $107,900; New York, NY: $103,200 - $117,800; Plano, TX: $86,000 - $98,200; Richmond, VA: $86,000 - $98,200; Riverwoods, IL: $86,000 - $98,200. Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with applicable laws regarding criminal background inquiries. If you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical questions about the recruiting process, please email Careers@capitalone.com.
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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 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 Senior 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 Senior Auditor will be responsible for maintaining all organizational and professional ethical standards. Responsibilities
Participate in major components of BSA / AML, Sanctions, and Fraud Compliance audits. Assist in performing 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 on 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 2 years of experience in auditing, at least 2 years of experience in accounting, at least 2 years of experience in financial analysis, at least 2 years of experience in compliance, at least 2 years of experience in Anti-Money Laundering, Fraud or Sanctions, or a combination. Preferred Qualifications
Master’s Degree in Auditing, Master’s Degree in Accounting, Master’s Degree in Information Systems or Master of Business Administration Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification 1+ year 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 Additional Information
At this time, Capital One will not sponsor a new applicant for employment authorization for this position. 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, Tuesday, Wednesday and Thursday are in-person days for associates to spend time together working in our team areas. The minimum and maximum full-time annual salaries for this role are listed below, by location. Salaries for part-time roles will be prorated. This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives (LTI). Locations and salary ranges: Charlotte, NC: $86,000 - $98,200; Chicago, IL: $86,000 - $98,200; McLean, VA: $94,600 - $107,900; New York, NY: $103,200 - $117,800; Plano, TX: $86,000 - $98,200; Richmond, VA: $86,000 - $98,200; Riverwoods, IL: $86,000 - $98,200. Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with applicable laws regarding criminal background inquiries. If you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical questions about the recruiting process, please email Careers@capitalone.com.
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