Capital One
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One, Plano, Texas, us, 75086
Overview
Capital One’s Audit function delivers top-quality assurance services to the organization’s Audit Committee. The Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance role focuses on BSA/AML, Sanctions, and Fraud Compliance related audit projects that contribute to the annual audit plan. The Principal Auditor will maintain organizational and professional ethical standards and work within Capital One’s FCC Audit team. Responsibilities
Participate in major components of business units and lead small to medium size BSA/AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and conduct testing based on risks and processes. Communicate issues, risks and recommendations to all levels of management. Operate independently to ensure work is completed on schedule and meets 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 agreed timescales. Actively seek learning opportunities to enhance skills and competencies related to the role. 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 or financial services, in a professional services firm serving large banks, or a combination 1+ years of experience performing data analysis in support of internal auditing Additional Details
This role is hybrid: 3 days/week in-person at one of the listed office locations; Fridays are enterprise-wide virtual work days. In-person days are Monday–Thursday. Salary ranges are location-based and include a minimum to maximum annual salary for Principal Auditor in listed locations; actual offers reflect the location and agreement at hire. This role is eligible for performance-based incentive compensation. Capital One is an equal opportunity employer. See EEO statement in the posting for details. Capital One will consider qualified applicants with criminal histories in a manner consistent with applicable laws. No agency solicitation. If accommodation is needed during the application process, contact Capital One Recruiting. Location and Employment Type
Plano, TX – Principal Auditor, Full-time Job function: Accounting/Auditing and Finance Note: This description reflects the information available in the original posting and is reformatted for clarity and accessibility.
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Capital One’s Audit function delivers top-quality assurance services to the organization’s Audit Committee. The Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance role focuses on BSA/AML, Sanctions, and Fraud Compliance related audit projects that contribute to the annual audit plan. The Principal Auditor will maintain organizational and professional ethical standards and work within Capital One’s FCC Audit team. Responsibilities
Participate in major components of business units and lead small to medium size BSA/AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and conduct testing based on risks and processes. Communicate issues, risks and recommendations to all levels of management. Operate independently to ensure work is completed on schedule and meets 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 agreed timescales. Actively seek learning opportunities to enhance skills and competencies related to the role. 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 or financial services, in a professional services firm serving large banks, or a combination 1+ years of experience performing data analysis in support of internal auditing Additional Details
This role is hybrid: 3 days/week in-person at one of the listed office locations; Fridays are enterprise-wide virtual work days. In-person days are Monday–Thursday. Salary ranges are location-based and include a minimum to maximum annual salary for Principal Auditor in listed locations; actual offers reflect the location and agreement at hire. This role is eligible for performance-based incentive compensation. Capital One is an equal opportunity employer. See EEO statement in the posting for details. Capital One will consider qualified applicants with criminal histories in a manner consistent with applicable laws. No agency solicitation. If accommodation is needed during the application process, contact Capital One Recruiting. Location and Employment Type
Plano, TX – Principal Auditor, Full-time Job function: Accounting/Auditing and Finance Note: This description reflects the information available in the original posting and is reformatted for clarity and accessibility.
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