Principal Auditor, Financial Crimes Compliance (FCC)

Employer
Capital One
Location
Richmond, Virginia
Posted
May 07, 2021
Closes
May 12, 2021
Ref
R109885
Function
Finance
Hours
Full Time
West Creek 7 (12077), United States of America, Richmond, Virginia

Principal Auditor, Financial Crimes Compliance (FCC)

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 audits that involve conducting operational, financial and compliance audit projects and providing input to the annual audit plan. The Principal Auditor will be responsible for maintaining all organizational and professional ethical standards.



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.



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 years of experience in auditing, accounting, financial analysis, compliance, or a combination



Preferred Qualifications:
  • At least 2 years of experience in leading audits and performing in the role of auditor-in-charge
  • At least 2+ years of experience in banking or in financial services
  • At least 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), Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS) or Certified Fraud Examiner (CFE)
  • Experience with auditing AML, sanctions and or fraud risk management



At this time, Capital One will not sponsor a new applicant for employment authorization for this position.