Capital One
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One, Plano, Texas, us, 75086
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Join to apply for the
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
role at
Capital One 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. The role focuses 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. 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 their commitments within the agreed timescales. Proactively seek out learning opportunities to enhance skills and competencies related to the role. This is what we’re looking for in an ideal teammate: 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 the effectiveness and efficiency of Capital One’s 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 like to ask questions, test assumptions, and challenge conventional thinking. You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition. You believe that a strong understanding of data, innovation, and technology enhances auditing capabilities, including data analytics and technical skills. You are collaborative and value coaching and developing others, leading through change with candor and optimism. You create 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 Laundering 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 This role is hybrid, meaning associates will spend 3 days per week in person at one of the offices listed in this posting. Fridays are enterprise-wide virtual work days. The remaining in-person days are for collaboration in team spaces. The minimum and maximum full-time annual salaries for this role are location-specific and refer to the amount Capital One is willing to pay at the time of hire. Salaries for part-time roles will be prorated based on hours worked. Locations may include Charlotte, NC; Chicago, IL; McLean, VA; New York, NY; Plano, TX; Richmond, VA; Riverwoods, IL. The role is eligible for performance-based incentives, which may include cash bonuses and/or long-term incentives, depending on the plan. Capital One offers a comprehensive, inclusive set of health, financial and other benefits. Eligibility varies based on status. 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 and a drug-free workplace. Capital One will consider qualified applicants with criminal histories in a manner consistent with applicable laws and regulations. If you require an accommodation during the application process, please contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. Capital One does not provide, endorse, or guarantee third-party products or services described on this site. Capital One Financial is made up of several entities. Position postings for Canada, the United Kingdom, and the Philippines refer to Capital One Canada, Capital One Europe, and Capital One Philippines Service Corp. respectively. Seniority level: Mid-Senior level Employment type: Full-time Job function: Accounting/Auditing and Finance
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Join to apply for the
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
role at
Capital One 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. The role focuses 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. 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 their commitments within the agreed timescales. Proactively seek out learning opportunities to enhance skills and competencies related to the role. This is what we’re looking for in an ideal teammate: 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 the effectiveness and efficiency of Capital One’s 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 like to ask questions, test assumptions, and challenge conventional thinking. You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition. You believe that a strong understanding of data, innovation, and technology enhances auditing capabilities, including data analytics and technical skills. You are collaborative and value coaching and developing others, leading through change with candor and optimism. You create 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 Laundering 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 This role is hybrid, meaning associates will spend 3 days per week in person at one of the offices listed in this posting. Fridays are enterprise-wide virtual work days. The remaining in-person days are for collaboration in team spaces. The minimum and maximum full-time annual salaries for this role are location-specific and refer to the amount Capital One is willing to pay at the time of hire. Salaries for part-time roles will be prorated based on hours worked. Locations may include Charlotte, NC; Chicago, IL; McLean, VA; New York, NY; Plano, TX; Richmond, VA; Riverwoods, IL. The role is eligible for performance-based incentives, which may include cash bonuses and/or long-term incentives, depending on the plan. Capital One offers a comprehensive, inclusive set of health, financial and other benefits. Eligibility varies based on status. 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 and a drug-free workplace. Capital One will consider qualified applicants with criminal histories in a manner consistent with applicable laws and regulations. If you require an accommodation during the application process, please contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. Capital One does not provide, endorse, or guarantee third-party products or services described on this site. Capital One Financial is made up of several entities. Position postings for Canada, the United Kingdom, and the Philippines refer to Capital One Canada, Capital One Europe, and Capital One Philippines Service Corp. respectively. Seniority level: Mid-Senior level Employment type: Full-time Job function: Accounting/Auditing and Finance
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