Capital One
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. The Audit team delivers high-value, independent, proactive insights and recommendations, and operates in a collaborative, agile environment. We are seeking an energetic, self-motivated Audit Director to join the Financial Crimes Compliance (FCC) Audit team and focus on all aspects of financial crimes compliance across the bank. The Director will design and execute a risk-based testing strategy to ensure the quality of AML, Sanctions and Fraud risk management is effective across all lines of business within Capital One. The Director will contribute to the development of the ongoing audit plan and ensure the team maintains a comprehensive understanding of the AML, Sanctions and Fraud risk profile of the audit universe. Responsibilities
Lead and/or execute compliance-related audits within Capital One, including supervision of audit staff on related engagements. Proactively monitor the assigned audit universe for changing risks and updates; lead continuous monitoring activities and updates to 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 among audit team members; provide timely feedback, on-the-job training and coaching to staff and direct reports. Establish and maintain relationships with key business and audit partners; represent internal audit at management meetings and external forums as appropriate. Assess relevance of audit findings, potential exposures, materiality, and trends; interpret business priorities and apply to scope of the role. Deliver clear, organized audit reports with concise findings and actionable recommendations; tailor communication to the audience and incorporate diverse perspectives. Manage timely and quality delivery of multiple tasks, including audits, projects, and administrative activities; prioritize work to meet deadlines. What we’re looking for
Critical thinker who understands the business and its control environment. Commitment to insight and objectivity in evaluating governance, risk management, and internal controls. Strong focus on quality and timeliness; adaptable to change and open to new ideas. Ability to develop influential relationships based on shared risk objectives and trust. Belief in using data analytics and technology to enhance auditing. Coaching mindset with leadership by example; capable of leading through change with candor and optimism. Ability to create an environment of trust, collaboration, and belonging to attract and retain top talent. Travel Expectations
The associate is expected to travel an average of 10-15% of the time. This role is hybrid; associates are expected to spend a minimum of 3 days per week in-person at one of our offices (Monday through Thursday). Fridays are enterprise-wide virtual work days. Basic Qualifications
Bachelor’s degree or military experience At least 10 years of experience in auditing, 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 Certifications (e.g., CAMS, CFE, CIA, CPA, CRCM) Experience with consumer compliance, privacy and conduct risk management 10+ years of experience in internal auditing, regulatory compliance, or risk management 7+ years of experience in banking or financial services 7+ years of leadership or supervisory experience 10+ years of experience with 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 in internal audit Employment and General Information
At this time, Capital One will not sponsor a new applicant for employment authorization for this position. This role is eligible for performance-based incentive compensation, which may include cash bonuses and/or long-term incentives. Benefits information is available on the Capital One Careers site and varies by employment status. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One maintains a drug-free workplace. The company will consider qualified applicants with criminal histories in accordance with applicable laws and regulations. If you require accommodation during the application process, please contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical support or questions about the recruiting process, email Careers@capitalone.com.
#J-18808-Ljbffr
Capital One’s Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organization’s Audit Committee. The Audit team delivers high-value, independent, proactive insights and recommendations, and operates in a collaborative, agile environment. We are seeking an energetic, self-motivated Audit Director to join the Financial Crimes Compliance (FCC) Audit team and focus on all aspects of financial crimes compliance across the bank. The Director will design and execute a risk-based testing strategy to ensure the quality of AML, Sanctions and Fraud risk management is effective across all lines of business within Capital One. The Director will contribute to the development of the ongoing audit plan and ensure the team maintains a comprehensive understanding of the AML, Sanctions and Fraud risk profile of the audit universe. Responsibilities
Lead and/or execute compliance-related audits within Capital One, including supervision of audit staff on related engagements. Proactively monitor the assigned audit universe for changing risks and updates; lead continuous monitoring activities and updates to 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 among audit team members; provide timely feedback, on-the-job training and coaching to staff and direct reports. Establish and maintain relationships with key business and audit partners; represent internal audit at management meetings and external forums as appropriate. Assess relevance of audit findings, potential exposures, materiality, and trends; interpret business priorities and apply to scope of the role. Deliver clear, organized audit reports with concise findings and actionable recommendations; tailor communication to the audience and incorporate diverse perspectives. Manage timely and quality delivery of multiple tasks, including audits, projects, and administrative activities; prioritize work to meet deadlines. What we’re looking for
Critical thinker who understands the business and its control environment. Commitment to insight and objectivity in evaluating governance, risk management, and internal controls. Strong focus on quality and timeliness; adaptable to change and open to new ideas. Ability to develop influential relationships based on shared risk objectives and trust. Belief in using data analytics and technology to enhance auditing. Coaching mindset with leadership by example; capable of leading through change with candor and optimism. Ability to create an environment of trust, collaboration, and belonging to attract and retain top talent. Travel Expectations
The associate is expected to travel an average of 10-15% of the time. This role is hybrid; associates are expected to spend a minimum of 3 days per week in-person at one of our offices (Monday through Thursday). Fridays are enterprise-wide virtual work days. Basic Qualifications
Bachelor’s degree or military experience At least 10 years of experience in auditing, 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 Certifications (e.g., CAMS, CFE, CIA, CPA, CRCM) Experience with consumer compliance, privacy and conduct risk management 10+ years of experience in internal auditing, regulatory compliance, or risk management 7+ years of experience in banking or financial services 7+ years of leadership or supervisory experience 10+ years of experience with 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 in internal audit Employment and General Information
At this time, Capital One will not sponsor a new applicant for employment authorization for this position. This role is eligible for performance-based incentive compensation, which may include cash bonuses and/or long-term incentives. Benefits information is available on the Capital One Careers site and varies by employment status. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One maintains a drug-free workplace. The company will consider qualified applicants with criminal histories in accordance with applicable laws and regulations. If you require accommodation during the application process, please contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical support or questions about the recruiting process, email Careers@capitalone.com.
#J-18808-Ljbffr