Capital One National Association
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One National Association, Charlotte, North Carolina, United States, 28245
Overview
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance. Capital One’s Audit function delivers high-quality assurance services to the organization’s Audit Committee. The team operates in a collaborative, agile environment to provide independent insights, innovate with technology, and support personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal Auditor for the Financial Crimes Compliance (FCC) Audit team. The Principal Auditor will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that inform the annual audit plan and will maintain 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 testing based on the risks and processes audited. Communicate issues, risks, and recommendations to all levels of management.
Operate independently and ensure work is completed on schedule and to high-quality standards.
Develop and maintain strong working relationships with key business partners and the extended Audit group.
Leverage 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 learning opportunities to enhance skills and competencies related to the role.
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 on shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition.
You understand that data, innovation, and technology enhance auditing through data analytics and technical expertise.
You are a teacher who does the right thing, coaches others, and leads through change with candor and optimism.
You create an environment that fosters trust, collaboration, and belonging 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), or Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification
4+ years of experience in banking, financial services, in a professional services firm serving large banks, or a combination
1+ years 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.
Work arrangement This role is hybrid, with associates spending 3 days per week in-person at one of the offices listed in this job posting. Fridays are enterprise-wide virtual work days. Monday to Thursday are in-person days for collaboration in team areas.
Compensation and benefits information The minimum and maximum full-time annual salaries for this role are listed below by location. Salaries apply to candidates hired to work in these locations and reflect the offer amount at the time of hire. Salaries for part-time roles are prorated. Locations and ranges include: 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. Other locations pay ranges aligned to their location and will be reflected in the offer letter.
This role is eligible to earn performance-based incentive compensation, which may include cash bonuses and/or long-term incentives (LTI). Incentives may be discretionary or non-discretionary depending on the plan.
Other information Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits. Eligibility varies by status. Capital One is an equal opportunity employer (EOE) committed to non-discrimination and to maintaining a drug-free workplace. Capital One will consider applicants with criminal histories where allowed by law and applicable policies.
If you require an accommodation during the application process, contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. For technical support or questions about the recruiting process, contact Careers@capitalone.com.
Capital One does not provide, endorse, or guarantee third-party products or services through this site.
#J-18808-Ljbffr
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 testing based on the risks and processes audited. Communicate issues, risks, and recommendations to all levels of management.
Operate independently and ensure work is completed on schedule and to high-quality standards.
Develop and maintain strong working relationships with key business partners and the extended Audit group.
Leverage 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 learning opportunities to enhance skills and competencies related to the role.
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 on shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition.
You understand that data, innovation, and technology enhance auditing through data analytics and technical expertise.
You are a teacher who does the right thing, coaches others, and leads through change with candor and optimism.
You create an environment that fosters trust, collaboration, and belonging 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), or Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification
4+ years of experience in banking, financial services, in a professional services firm serving large banks, or a combination
1+ years 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.
Work arrangement This role is hybrid, with associates spending 3 days per week in-person at one of the offices listed in this job posting. Fridays are enterprise-wide virtual work days. Monday to Thursday are in-person days for collaboration in team areas.
Compensation and benefits information The minimum and maximum full-time annual salaries for this role are listed below by location. Salaries apply to candidates hired to work in these locations and reflect the offer amount at the time of hire. Salaries for part-time roles are prorated. Locations and ranges include: 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. Other locations pay ranges aligned to their location and will be reflected in the offer letter.
This role is eligible to earn performance-based incentive compensation, which may include cash bonuses and/or long-term incentives (LTI). Incentives may be discretionary or non-discretionary depending on the plan.
Other information Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits. Eligibility varies by status. Capital One is an equal opportunity employer (EOE) committed to non-discrimination and to maintaining a drug-free workplace. Capital One will consider applicants with criminal histories where allowed by law and applicable policies.
If you require an accommodation during the application process, contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. For technical support or questions about the recruiting process, contact Careers@capitalone.com.
Capital One does not provide, endorse, or guarantee third-party products or services through this site.
#J-18808-Ljbffr