Capital One
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
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 is to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creating a dynamic and challenging atmosphere for personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal Auditor to join our Financial Crimes Compliance (FCC) Audit team. You will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that contribute to the annual audit plan. The Principal Auditor is 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 conduct relevant testing based on risks and processes associated with the area being audited. Communicate issues, risks and recommendations to all levels of management. Operate independently and ensure work is completed to schedule and meets 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 commitments within the agreed timescales. Proactively seek out learning opportunities to enhance skills and competencies related to the role. 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), or 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+ years of experience performing data analysis in support of internal auditing Additional Information
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. Location-specific ranges include Charlotte, NC; Chicago, IL; McLean, VA; New York, NY; Plano, TX; Richmond, VA; Riverwoods, IL. The actual offer will reflect the salary for the candidate’s location. This role is eligible to earn performance-based incentive compensation, which may include cash bonuses and/or long-term incentives (LTI). Capital One offers a comprehensive, inclusive set of health, financial and other benefits. Eligibility varies based on full- or part-time status, exempt or non-exempt status, and management level. This role is expected to accept applications for a minimum of 5 business days. No agencies please. 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. Capital One will consider qualified applicants with criminal histories in a manner consistent with applicable laws.
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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 is to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creating a dynamic and challenging atmosphere for personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal Auditor to join our Financial Crimes Compliance (FCC) Audit team. You will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that contribute to the annual audit plan. The Principal Auditor is 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 conduct relevant testing based on risks and processes associated with the area being audited. Communicate issues, risks and recommendations to all levels of management. Operate independently and ensure work is completed to schedule and meets 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 commitments within the agreed timescales. Proactively seek out learning opportunities to enhance skills and competencies related to the role. 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), or 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+ years of experience performing data analysis in support of internal auditing Additional Information
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. Location-specific ranges include Charlotte, NC; Chicago, IL; McLean, VA; New York, NY; Plano, TX; Richmond, VA; Riverwoods, IL. The actual offer will reflect the salary for the candidate’s location. This role is eligible to earn performance-based incentive compensation, which may include cash bonuses and/or long-term incentives (LTI). Capital One offers a comprehensive, inclusive set of health, financial and other benefits. Eligibility varies based on full- or part-time status, exempt or non-exempt status, and management level. This role is expected to accept applications for a minimum of 5 business days. No agencies please. 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. Capital One will consider qualified applicants with criminal histories in a manner consistent with applicable laws.
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