Capital One
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One, New York, New York, us, 10261
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. The team aims to provide high-value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination for personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal Auditor to join the Financial Crimes Compliance (FCC) Audit team. The Principal Auditor will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that inform the annual audit plan, while maintaining organizational and professional ethical standards.
Responsibilities
Participate in major components of business units and lead small to medium-sized BSA/AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and conduct relevant testing based on risks and processes. Communicate issues, risks and recommendations to all levels of management. Operate independently and 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 established timescales. Proactively seek learning opportunities to enhance skills and competencies related to the role.
Ideal teammate qualifications
You are a critical thinker who seeks to understand the business and its control environment. You value insight and objectivity in providing assurance on governance, risk management, and internal control processes. You have a relentless focus on quality and timeliness. You adapt to change, embrace bold ideas, and are intellectually curious. You test assumptions and challenge conventional thinking. You build influential relationships based on shared risk objectives and trust to deliver business impact and elevate Audit’s value proposition. You believe understanding data, innovation, and technology will enhance your effectiveness as an auditor, including leveraging data analytics and expanding technical expertise. You are a teacher who leads by example, coaches others, and leads through change with candor and optimism. You foster an environment of trust, collaboration, and belonging to attract, hire, 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), Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification 4+ years of experience in banking/financial services or with a professional services firm serving large banks, or a combination 1+ years of experience performing data analysis in support of internal auditing
Employment 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 per week in-person at one of the offices listed in this posting. Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaborative work in team areas.
Salary and benefits
The minimum and maximum full-time annual salaries are listed by location. Salaries for part-time roles will be prorated. Locations and ranges include: 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 for other locations will be offered the pay range for that location. This role is also eligible for performance-based incentive compensation, which may include cash bonuses and long-term incentives (LTI).
Equal opportunity statement
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One promotes a drug-free workplace and will consider qualified applicants with a criminal history in a manner consistent with applicable laws and regulations.
If you require accommodations during the application process, contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com.
For technical support or questions about Capital One's recruiting process, please email Careers@capitalone.com. Capital One does not guarantee third-party products, services, or information available through this site.
Capital One Financial is made up of several entities; positions posted in Canada, the United Kingdom, or the Philippines are for respective Capital One entities.
#J-18808-Ljbffr
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. The team aims to provide high-value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination for personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal Auditor to join the Financial Crimes Compliance (FCC) Audit team. The Principal Auditor will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that inform the annual audit plan, while maintaining organizational and professional ethical standards.
Responsibilities
Participate in major components of business units and lead small to medium-sized BSA/AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and conduct relevant testing based on risks and processes. Communicate issues, risks and recommendations to all levels of management. Operate independently and 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 established timescales. Proactively seek learning opportunities to enhance skills and competencies related to the role.
Ideal teammate qualifications
You are a critical thinker who seeks to understand the business and its control environment. You value insight and objectivity in providing assurance on governance, risk management, and internal control processes. You have a relentless focus on quality and timeliness. You adapt to change, embrace bold ideas, and are intellectually curious. You test assumptions and challenge conventional thinking. You build influential relationships based on shared risk objectives and trust to deliver business impact and elevate Audit’s value proposition. You believe understanding data, innovation, and technology will enhance your effectiveness as an auditor, including leveraging data analytics and expanding technical expertise. You are a teacher who leads by example, coaches others, and leads through change with candor and optimism. You foster an environment of trust, collaboration, and belonging to attract, hire, 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), Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification 4+ years of experience in banking/financial services or with a professional services firm serving large banks, or a combination 1+ years of experience performing data analysis in support of internal auditing
Employment 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 per week in-person at one of the offices listed in this posting. Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaborative work in team areas.
Salary and benefits
The minimum and maximum full-time annual salaries are listed by location. Salaries for part-time roles will be prorated. Locations and ranges include: 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 for other locations will be offered the pay range for that location. This role is also eligible for performance-based incentive compensation, which may include cash bonuses and long-term incentives (LTI).
Equal opportunity statement
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One promotes a drug-free workplace and will consider qualified applicants with a criminal history in a manner consistent with applicable laws and regulations.
If you require accommodations during the application process, contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com.
For technical support or questions about Capital One's recruiting process, please email Careers@capitalone.com. Capital One does not guarantee third-party products, services, or information available through this site.
Capital One Financial is made up of several entities; positions posted in Canada, the United Kingdom, or the Philippines are for respective Capital One entities.
#J-18808-Ljbffr