Principal auditor senior auditor financial 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. Audit professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. Audit's vision to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creates a dynamic and challenging atmosphere for both personal growth and professional opportunity.

Capital One is seeking an energetic, self-motivated Principal Auditor interested in becoming part of our Financial Crimes Compliance (FCC) Audit team. As a member of the Financial Crimes Compliance Audit team, you will focus 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. Assist in communicating issues, risks and recommendations to all levels of management.
• Operate independently and ensure work is completed to schedule and meets our 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 role.
  
  

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 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 year 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, in the financial services industry, in a professional services firm serving clients in 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.

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.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

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

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

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. Learn more at the Capital One Careers website. 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.

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 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 [email protected]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to [email protected]

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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).