Job Description

Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid)

Capital Ones Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organizations Audit Committee. Audit professionals 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 interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on operations of investment (securities and transactions).

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. Document auditee processes and procedures, review and analyze evidence, and identify potential issues.
• Prepare clear, organized, and complete documentation to support work performed, including draft 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. 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.

Ideal Candidate:

• 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 Ones 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 Audits value proposition.
• Youre 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, compliance, risk management, accounting, or a combination.

Preferred Qualifications:

• At least 2 years of experience leading audit engagements, and performing in the role of auditor-in-charge.
• 4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination.
• 4+ years of experience in one or more areas of compliance, such as consumer, brokerage, wealth management, or trust
• 1+ years of experience with data analytics tools and performing data analysis in support of internal auditing
• Masters Degree in Accounting, Masters Degree in Finance, or Master of Business Administration
• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Anti-Money Laundering Specialist (CAMS)

Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.

Job Tags

Similar Jobs