Capital One
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One, Plano, Texas, us, 75086
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One’s Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organization’s Audit Committee. Auditors are experienced, well‑trained and credentialed, and operate within a collaborative, agile environment to deliver value‑added opinions and recommendations.
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 audits that provide input to the annual audit plan.
Seniority level: Mid‑Senior level
Employment type: Full‑time
Job function: Accounting/Auditing and Finance
Responsibilities
Participate in major components of business units and lead small to medium size BSA/AML, Sanctions, and Fraud Compliance audits. Perform risk assessments and relevant testing.
Operate independently and ensure work is completed on schedule and meets high‑quality standards.
Develop and maintain strong relationships with key business partners and the extended Audit group.
Leverage available data and analytical tools during planning and fieldwork.
Follow‑up on agreed audit actions to ensure management delivers commitments within agreed timescales.
Seek continuous learning opportunities to enhance skills and competencies.
Ideal Team Member
Critical thinker who seeks to understand business and its control environment.
Believes insight and objectivity are core to assurance.
Relentless focus on quality and timeliness.
Adaptable, embraces bold ideas, intellectually curious, asks questions, tests assumptions, challenges conventional thinking.
Builds influential relationships based on shared risk objectives and trust.
Believes that data, innovation, and technology enhance audit effectiveness.
A teacher who leads by example, coaches, and invests in the betterment of the team, leading through change with candor and optimism.
Creates energy and an environment that fosters trust, collaboration, and belonging.
Basic Qualifications
Bachelor’s Degree or equivalent 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, financial services, or a professional services firm serving large banks.
1+ year of experience performing data analysis in support of internal auditing.
Capital One will not sponsor a new applicant for employment authorization for this position.
This role is hybrid: 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 through Thursday are in‑person days for associates to collaborate in our beautifully‑designed team areas.
Salary ranges by location for Principal Auditor:
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
This role is also 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.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well‑being. Eligibility varies based on full‑time or part‑time status, exempt or non‑exempt status, and management level.
We expect 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 federal, state, and local laws. Capital One promotes a drug‑free workplace.
Capital One will consider qualified applicants with a criminal history in a manner consistent with applicable laws regarding criminal background inquiries.
If you need an accommodation, please contact Capital One Recruiting at 1‑800‑304‑9102 or email RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and used only as required to provide accommodations.
For technical support or questions about the recruiting process, please email Careers@capitalone.com.
Capital One does not provide, endorse nor guarantee and is not liable for third‑party products, services, educational tools or other information available through this site.
Capital One Financial is made up of several different entities. Positions posted in Canada are for Capital One Canada, in the United Kingdom for Capital One Europe and in the Philippines for Capital One Philippines Service Corp. (COPSSC).
#J-18808-Ljbffr
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 audits that provide input to the annual audit plan.
Seniority level: Mid‑Senior level
Employment type: Full‑time
Job function: Accounting/Auditing and Finance
Responsibilities
Participate in major components of business units and lead small to medium size BSA/AML, Sanctions, and Fraud Compliance audits. Perform risk assessments and relevant testing.
Operate independently and ensure work is completed on schedule and meets high‑quality standards.
Develop and maintain strong relationships with key business partners and the extended Audit group.
Leverage available data and analytical tools during planning and fieldwork.
Follow‑up on agreed audit actions to ensure management delivers commitments within agreed timescales.
Seek continuous learning opportunities to enhance skills and competencies.
Ideal Team Member
Critical thinker who seeks to understand business and its control environment.
Believes insight and objectivity are core to assurance.
Relentless focus on quality and timeliness.
Adaptable, embraces bold ideas, intellectually curious, asks questions, tests assumptions, challenges conventional thinking.
Builds influential relationships based on shared risk objectives and trust.
Believes that data, innovation, and technology enhance audit effectiveness.
A teacher who leads by example, coaches, and invests in the betterment of the team, leading through change with candor and optimism.
Creates energy and an environment that fosters trust, collaboration, and belonging.
Basic Qualifications
Bachelor’s Degree or equivalent 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, financial services, or a professional services firm serving large banks.
1+ year of experience performing data analysis in support of internal auditing.
Capital One will not sponsor a new applicant for employment authorization for this position.
This role is hybrid: 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 through Thursday are in‑person days for associates to collaborate in our beautifully‑designed team areas.
Salary ranges by location for Principal Auditor:
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
This role is also 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.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well‑being. Eligibility varies based on full‑time or part‑time status, exempt or non‑exempt status, and management level.
We expect 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 federal, state, and local laws. Capital One promotes a drug‑free workplace.
Capital One will consider qualified applicants with a criminal history in a manner consistent with applicable laws regarding criminal background inquiries.
If you need an accommodation, please contact Capital One Recruiting at 1‑800‑304‑9102 or email RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and used only as required to provide accommodations.
For technical support or questions about the recruiting process, please email Careers@capitalone.com.
Capital One does not provide, endorse nor guarantee and is not liable for third‑party products, services, educational tools or other information available through this site.
Capital One Financial is made up of several different entities. Positions posted in Canada are for Capital One Canada, in the United Kingdom for Capital One Europe and in the Philippines for Capital One Philippines Service Corp. (COPSSC).
#J-18808-Ljbffr