Senior Audit Director, Line of Business Audit

Employer
Capital One
Location
New York, New York, United States
Posted
Jan 15, 2023
Closes
Feb 14, 2023
Ref
R163305
Function
Finance
Hours
Full Time
NYC 299 Park Avenue (22957), United States of America, New York, New York

Senior Audit Director, Line of Business Audit

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 Senior Audit Director interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on audits of commercial banking, including the swap dealer, as well as enterprise payments (i.e., ACH, wires, check processing).

Responsibilities:
  • Proactively monitor the assigned audit universe for changing risks and maintain awareness of changes to the internal and external business environment. Lead continuous monitoring activities and updates to risk assessments, audit universe, and audit plan.
  • Direct business unit and project audits across assigned portfolio.
  • Review engagement planning documentation and audit programs to promote adequate coverage of risk and sufficient rationale for audit scope, including an appropriate focus on high risk areas.
  • Supervise and coordinate work assignments amongst audit team members. Provide timely direction, feedback, on-the-job training, and coaching to audit staff and direct reports.
  • Establish and maintain good relationships with key business and audit partners. Serve as a subject matter resource, demonstrating business acumen and knowledge, providing management with insight into their area of focus. Effectively represent internal audit at management meetings, internal forums, and to stakeholder organizations.
  • Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues. Interpret business priorities, anticipate issues and obstacles, and apply to scope of role.
  • Deliver appropriate, succinct and organized information, tailoring communication style to audience. Effectively review and compile relevant, material findings and recommendations into readable and concise audit reports and presentations. Communicate complex results and implications, incorporating different perspectives into deliverables.
  • Manage timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department. Demonstrate the ability to successfully meet deadlines.


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 12 years of financial services industry experience
  • At least 12 years of commercial banking experience
  • At least 5 years of experience in people management
  • At least 3 years of project management experience


Preferred Qualifications:
  • Master's Degree in Auditing, Accounting, Finance, Economics, or Business Administration
  • Professional certification such as Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Chartered Financial Analyst (CFA), Certified Risk Manager (CRM), or Accredited Payment Risk Professional (APRP) or other relevant credentials
  • 15+ years of experience in internal or external auditing, risk management or compliance or a combination
  • 7+ years of experience in people management roles
  • 3+ years of experience in enterprise payments
  • 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.

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.

Location is New York City: $229,042 - $270,218 for Sr. Audit Director

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.

No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. 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.

For technical support or questions about Capital One's recruiting process, please send an email to 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. 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).