Capital One
Audit Director, Financial Crimes Compliance
Capital One, Richmond, Virginia, United States, 23214
Audit Director, Financial Crimes Compliance
Capital One’s Audit function focuses on top-quality assurance services to the organization’s Audit Committee. The FCC Audit team drives risk-based testing across AML, Sanctions, and Fraud risk management. The director designs and executes a risk-based testing strategy, provides input on the ongoing audit plan, and keeps the audit universe’s AML, Sanctions, and Fraud risk profile under comprehensive understanding.
Responsibilities
Lead and execute compliance related audits, supervising audit staff on related engagement.
Proactively monitor the audit universe for changing risks; lead continuous monitoring activities and update risk assessments, audit universe, and audit plan.
Direct business unit and project audits across assigned portfolios.
Review engagement planning documentation and audit programs to ensure adequate coverage of risk and sufficient rationale for audit scope.
Supervise and coordinate work assignments amongst audit team members. Provide timely feedback, on‑the‑job training, and coaching to audit staff and direct reports.
Establish and maintain good relationships with key business and audit partners; represent internal audit at management meetings, internal forums, and to external organizations.
Assess relevance of audit findings, potential exposures, materiality, and trends; interpret business priorities and apply to scope of role.
Deliver concise, organized information tailored to audience. Communicate complex results and implications and incorporate different perspectives into deliverables.
Manage timely and quality delivery of multiple tasks including audits, projects, special assignments, and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department.
Qualifications Basic Qualifications
Bachelor’s degree or equivalent military experience.
At least 10 years of experience in auditing or compliance or risk management.
At least 5 years of experience in Anti-Money Laundering (AML), Sanctions, and Fraud compliance.
At least 5 years of experience in banking or financial services.
At least 3 years of experience in people management.
At least 3 years of experience managing audit engagements.
Preferred Qualifications
Master’s Degree in Accounting, Finance, Economics, or Business Administration.
Professional Certification 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 first/second line risk management.
7+ years of experience in banking or financial services.
7+ years of experience in leadership or supervisory roles.
10+ years of experience in BSA, AML, US PATRIOT Act, and OFAC requirements.
1+ years of experience conducting international audits and interacting with foreign regulators.
3+ years of experience with data analytics tools in support of internal audit.
Travel Expectations Associate will be expected to travel an average of 10‑15% of the time.
Hybrid This role is hybrid. Associates are expected to spend a minimum of 3 days per week in person at one of our offices listed on this job posting Monday through Thursday. Fridays are enterprise‑wide virtual workdays.
Salary Charlotte, NC: $181,800 – $207,500 Chicago, IL: $181,800 – $207,500 McLean, VA: $200,100 – $228,400 New York, NY: $218,300 – $249,100 Plano, TX: $181,800 – $207,500 Richmond, VA: $181,800 – $207,500 Riverwoods, IL: $181,800 – $207,500
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non‑discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug‑free workplace. Capital One considers qualified applicants with a criminal history in a manner consistent with applicable laws regarding background inquiries.
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Responsibilities
Lead and execute compliance related audits, supervising audit staff on related engagement.
Proactively monitor the audit universe for changing risks; lead continuous monitoring activities and update risk assessments, audit universe, and audit plan.
Direct business unit and project audits across assigned portfolios.
Review engagement planning documentation and audit programs to ensure adequate coverage of risk and sufficient rationale for audit scope.
Supervise and coordinate work assignments amongst audit team members. Provide timely feedback, on‑the‑job training, and coaching to audit staff and direct reports.
Establish and maintain good relationships with key business and audit partners; represent internal audit at management meetings, internal forums, and to external organizations.
Assess relevance of audit findings, potential exposures, materiality, and trends; interpret business priorities and apply to scope of role.
Deliver concise, organized information tailored to audience. Communicate complex results and implications and incorporate different perspectives into deliverables.
Manage timely and quality delivery of multiple tasks including audits, projects, special assignments, and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department.
Qualifications Basic Qualifications
Bachelor’s degree or equivalent military experience.
At least 10 years of experience in auditing or compliance or risk management.
At least 5 years of experience in Anti-Money Laundering (AML), Sanctions, and Fraud compliance.
At least 5 years of experience in banking or financial services.
At least 3 years of experience in people management.
At least 3 years of experience managing audit engagements.
Preferred Qualifications
Master’s Degree in Accounting, Finance, Economics, or Business Administration.
Professional Certification 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 first/second line risk management.
7+ years of experience in banking or financial services.
7+ years of experience in leadership or supervisory roles.
10+ years of experience in BSA, AML, US PATRIOT Act, and OFAC requirements.
1+ years of experience conducting international audits and interacting with foreign regulators.
3+ years of experience with data analytics tools in support of internal audit.
Travel Expectations Associate will be expected to travel an average of 10‑15% of the time.
Hybrid This role is hybrid. Associates are expected to spend a minimum of 3 days per week in person at one of our offices listed on this job posting Monday through Thursday. Fridays are enterprise‑wide virtual workdays.
Salary Charlotte, NC: $181,800 – $207,500 Chicago, IL: $181,800 – $207,500 McLean, VA: $200,100 – $228,400 New York, NY: $218,300 – $249,100 Plano, TX: $181,800 – $207,500 Richmond, VA: $181,800 – $207,500 Riverwoods, IL: $181,800 – $207,500
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non‑discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug‑free workplace. Capital One considers qualified applicants with a criminal history in a manner consistent with applicable laws regarding background inquiries.
#J-18808-Ljbffr