Capital One
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One, Deerfield, Illinois, United States, 60063
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
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 Principal 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 Principal Auditor will be responsible for maintaining all organizational and professional ethical standards.
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 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 to 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 the role.
Ideal Teammate
Critical thinker who seeks to understand the business and its control environment.
Believes insight and objectivity are core elements to providing assurance on the effectiveness and efficiency of Capital One’s governance, risk management, and internal control processes.
Possesses a relentless focus on quality and timeliness.
Adapts to change, embraces bold ideas, and is intellectually curious. Likes to ask questions, test assumptions, and challenge conventional thinking.
Develops influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition.
Believes that a rich understanding of data, innovation, and technology will make a better auditor. Requires leveraging data analytics and furthering technical expertise.
Teacher who leads by example, invests in the betterment of team members, and leads through change with candor and optimism.
Creates energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.
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, in the financial services industry, in a professional services firm serving clients in large banks, or a combination.
1 + year of experience performing data analysis in support of internal auditing.
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
This role is hybrid: 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‑Thursday are in‑person days.
Salary ranges (full‑time) by location:
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
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 federal, state, and local laws. Capital One promotes a drug‑free workplace.
For any accommodation or support during the application process, please contact Capital One Recruiting at 1‑800‑304‑9102 or via email at RecruitingAccommodation@capitalone.com. All information provided will be kept confidential and used only as required.
For technical support or questions about Capital One’s recruiting process, please send an email to Careers@capitalone.com.
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Capital One is seeking an energetic, self‑motivated Principal 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 Principal Auditor will be responsible for maintaining all organizational and professional ethical standards.
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 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 to 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 the role.
Ideal Teammate
Critical thinker who seeks to understand the business and its control environment.
Believes insight and objectivity are core elements to providing assurance on the effectiveness and efficiency of Capital One’s governance, risk management, and internal control processes.
Possesses a relentless focus on quality and timeliness.
Adapts to change, embraces bold ideas, and is intellectually curious. Likes to ask questions, test assumptions, and challenge conventional thinking.
Develops influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition.
Believes that a rich understanding of data, innovation, and technology will make a better auditor. Requires leveraging data analytics and furthering technical expertise.
Teacher who leads by example, invests in the betterment of team members, and leads through change with candor and optimism.
Creates energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.
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, in the financial services industry, in a professional services firm serving clients in large banks, or a combination.
1 + year of experience performing data analysis in support of internal auditing.
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
This role is hybrid: 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‑Thursday are in‑person days.
Salary ranges (full‑time) by location:
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
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 federal, state, and local laws. Capital One promotes a drug‑free workplace.
For any accommodation or support during the application process, please contact Capital One Recruiting at 1‑800‑304‑9102 or via email at RecruitingAccommodation@capitalone.com. All information provided will be kept confidential and used only as required.
For technical support or questions about Capital One’s recruiting process, please send an email to Careers@capitalone.com.
#J-18808-Ljbffr