Capital One
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One, Richmond, Virginia, United States, 23214
Overview
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance at Capital One. Role focuses on engagements involving BSA/AML, Sanctions, and Fraud Compliance within the Financial Crimes Compliance (FCC) Audit team. The Principal Auditor will maintain ethical standards and support the annual audit plan with input from audits and risk assessments. 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 risks and processes. 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 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 the agreed 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 believe insight and objectivity are core elements to providing assurance on governance, risk management, and internal control processes. You possess a relentless focus on quality and timeliness. You adapt to change, embrace bold ideas, and are intellectually curious. You ask questions, test assumptions, and challenge conventional thinking. You develop influential relationships based on shared risk objectives and trust to deliver business impact and elevate Audit’s value proposition. You value data, innovation, and technology to enhance auditing, including data analytics and technical skill development. You are collaborative and supportive, with a focus on coaching and team development, and you lead through change with candor and optimism. You contribute to an environment that fosters trust, collaboration, and belonging to attract 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 Launing Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification 4+ years of experience in banking or financial services, or in a professional services firm serving large banks 1+ years of experience performing data analysis in support of internal auditing Other Details
This role is hybrid meaning associates will spend 3 days per week in-person at one of our offices listed on this posting. Fridays are enterprise-wide virtual work days. Monday to Thursday are in-person days. The minimum and maximum full-time annual salaries are location-based and listed in the posting. Salaries for part-time roles are prorated. This role is eligible for performance-based incentives. Capital One offers a comprehensive benefits package. Eligibility varies by status and level. This role is expected to accept applications for a minimum of 5 business days. No agencies. Capital One is an equal opportunity employer (EOE, including disability/vet), and promotes a drug-free workplace. Capital One will consider qualified applicants with a criminal history in accordance with applicable laws and regulations. If you require accommodations during the application process, please contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. Capital One does not provide, endorse nor guarantee third-party products, services, or information available through this site. Capital One Financial is made up of multiple entities. Positions posted in Canada, the United Kingdom, or the Philippines correspond to Capital One Canada, Capital One Europe, and Capital One Philippines Service Corp. respectively.
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Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance at Capital One. Role focuses on engagements involving BSA/AML, Sanctions, and Fraud Compliance within the Financial Crimes Compliance (FCC) Audit team. The Principal Auditor will maintain ethical standards and support the annual audit plan with input from audits and risk assessments. 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 risks and processes. 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 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 the agreed 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 believe insight and objectivity are core elements to providing assurance on governance, risk management, and internal control processes. You possess a relentless focus on quality and timeliness. You adapt to change, embrace bold ideas, and are intellectually curious. You ask questions, test assumptions, and challenge conventional thinking. You develop influential relationships based on shared risk objectives and trust to deliver business impact and elevate Audit’s value proposition. You value data, innovation, and technology to enhance auditing, including data analytics and technical skill development. You are collaborative and supportive, with a focus on coaching and team development, and you lead through change with candor and optimism. You contribute to an environment that fosters trust, collaboration, and belonging to attract 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 Launing Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification 4+ years of experience in banking or financial services, or in a professional services firm serving large banks 1+ years of experience performing data analysis in support of internal auditing Other Details
This role is hybrid meaning associates will spend 3 days per week in-person at one of our offices listed on this posting. Fridays are enterprise-wide virtual work days. Monday to Thursday are in-person days. The minimum and maximum full-time annual salaries are location-based and listed in the posting. Salaries for part-time roles are prorated. This role is eligible for performance-based incentives. Capital One offers a comprehensive benefits package. Eligibility varies by status and level. This role is expected to accept applications for a minimum of 5 business days. No agencies. Capital One is an equal opportunity employer (EOE, including disability/vet), and promotes a drug-free workplace. Capital One will consider qualified applicants with a criminal history in accordance with applicable laws and regulations. If you require accommodations during the application process, please contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. Capital One does not provide, endorse nor guarantee third-party products, services, or information available through this site. Capital One Financial is made up of multiple entities. Positions posted in Canada, the United Kingdom, or the Philippines correspond to Capital One Canada, Capital One Europe, and Capital One Philippines Service Corp. respectively.
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