Capital One
Principal Auditor – Risk Management
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 well-trained and credentialed, operating within a collaborative, agile environment to deliver value-added opinions and recommendations. Audit's vision is to provide high-value, independent, proactive insights, innovate with technology, and be a top-notch talent destination, creating a dynamic and challenging atmosphere for personal growth and professional opportunity.
We are seeking an energetic, self-motivated Principal Auditor (Experienced Senior Auditor) interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on audits of Second Line Risk Management (Enterprise Risk Management, Operational Risk Management, Third Party Risk Management, Business Continuity, Payment Risk, Network Conflict Risk) and the First Line Risk Offices. The role will also provide Subject Matter Expertise and advisory to other audit teams regarding risk management.
Responsibilities
Lead small audits, or own completion of significant components of larger audits.
Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions, and develop audit programs to ensure adequate coverage of risks.
Design and execute appropriate audit procedures to verify the effectiveness of internal controls and/or the appropriateness of enterprise frameworks and requirements. Document audit processes and procedures, review and analyze evidence, and identify potential issues.
Prepare clear, organized, and complete documentation to support work performed and conclusions reached. Independently gather facts to support issues and concerns, elevate to necessary groups, and help draft audit findings.
Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor-in-charge.
Self‑prioritize and effectively plan your own work activities, managing multiple priorities and tasks across the team to deliver quality results which may include issue validations, regulatory exam support, and/or other team initiatives. Proactively take on additional work to support the team when possible.
Provide coaching, on‑the‑job training, and feedback to audit staff, including junior associates and recent hires.
Here’s 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 are able to navigate ambiguity, applying risk management principles to real life situations.
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’re a firm believer that a rich understanding of data, innovation, and technology will only make you a better auditor. This will require leveraging the power of data analytics and furthering your technical expertise.
You’re a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism.
You create energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.
Basic Qualifications
Bachelor's Degree or military experience
At least 3 years of experience in auditing, at least 3 years of experience in accounting, at least 3 years of experience in financial analysis, at least 3 years of experience in compliance, or a combination.
Preferred Qualifications
1+ year of experience in leading audits and performing in the role of auditor‑in‑charge
2+ years of experience in banking or in financial services
4+ years experience in internal audit or risk management (can be combined with Big Four external Audit experience)
1+ years of experience in performing data analysis in support of internal auditing
Master’s Degree in Accounting, Master’s Degree in Finance or Master of Business Administration
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification
Compensation and Benefits
Charlotte, NC: $106,700 - $121,700 for Principal Auditor
Chicago, IL: $106,700 - $121,700 for Principal Auditor
McLean, VA: $117,300 - $133,900 for Principal Auditor
New York, NY: $128,000 - $146,100 for Principal Auditor
Plano, TX: $106,700 - $121,700 for Principal Auditor
Richmond, VA: $106,700 - $121,700 for Principal Auditor
Riverwoods, IL: $106,700 - $121,700 for Principal Auditor
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long‑term incentives (LTI). Incentives could 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 or part‑time status, exempt or non‑exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
Work Arrangement At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
This role is hybrid meaning associates will spend 3 days per week in‑person at one of our offices listed on this job posting. Fridays are enterprise‑wide virtual work days. Monday, Tuesday, Wednesday, and Thursday are in‑person days for associates to spend time together working in our beautifully‑designed team areas.
Equal Opportunity Statement 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 for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23‑A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901‑4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1‑800‑304‑9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
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We are seeking an energetic, self-motivated Principal Auditor (Experienced Senior Auditor) interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on audits of Second Line Risk Management (Enterprise Risk Management, Operational Risk Management, Third Party Risk Management, Business Continuity, Payment Risk, Network Conflict Risk) and the First Line Risk Offices. The role will also provide Subject Matter Expertise and advisory to other audit teams regarding risk management.
Responsibilities
Lead small audits, or own completion of significant components of larger audits.
Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions, and develop audit programs to ensure adequate coverage of risks.
Design and execute appropriate audit procedures to verify the effectiveness of internal controls and/or the appropriateness of enterprise frameworks and requirements. Document audit processes and procedures, review and analyze evidence, and identify potential issues.
Prepare clear, organized, and complete documentation to support work performed and conclusions reached. Independently gather facts to support issues and concerns, elevate to necessary groups, and help draft audit findings.
Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor-in-charge.
Self‑prioritize and effectively plan your own work activities, managing multiple priorities and tasks across the team to deliver quality results which may include issue validations, regulatory exam support, and/or other team initiatives. Proactively take on additional work to support the team when possible.
Provide coaching, on‑the‑job training, and feedback to audit staff, including junior associates and recent hires.
Here’s 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 are able to navigate ambiguity, applying risk management principles to real life situations.
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’re a firm believer that a rich understanding of data, innovation, and technology will only make you a better auditor. This will require leveraging the power of data analytics and furthering your technical expertise.
You’re a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism.
You create energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.
Basic Qualifications
Bachelor's Degree or military experience
At least 3 years of experience in auditing, at least 3 years of experience in accounting, at least 3 years of experience in financial analysis, at least 3 years of experience in compliance, or a combination.
Preferred Qualifications
1+ year of experience in leading audits and performing in the role of auditor‑in‑charge
2+ years of experience in banking or in financial services
4+ years experience in internal audit or risk management (can be combined with Big Four external Audit experience)
1+ years of experience in performing data analysis in support of internal auditing
Master’s Degree in Accounting, Master’s Degree in Finance or Master of Business Administration
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification
Compensation and Benefits
Charlotte, NC: $106,700 - $121,700 for Principal Auditor
Chicago, IL: $106,700 - $121,700 for Principal Auditor
McLean, VA: $117,300 - $133,900 for Principal Auditor
New York, NY: $128,000 - $146,100 for Principal Auditor
Plano, TX: $106,700 - $121,700 for Principal Auditor
Richmond, VA: $106,700 - $121,700 for Principal Auditor
Riverwoods, IL: $106,700 - $121,700 for Principal Auditor
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long‑term incentives (LTI). Incentives could 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 or part‑time status, exempt or non‑exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
Work Arrangement At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
This role is hybrid meaning associates will spend 3 days per week in‑person at one of our offices listed on this job posting. Fridays are enterprise‑wide virtual work days. Monday, Tuesday, Wednesday, and Thursday are in‑person days for associates to spend time together working in our beautifully‑designed team areas.
Equal Opportunity Statement 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 for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23‑A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901‑4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1‑800‑304‑9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
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