Job Description

Overview

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

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 is to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creating 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 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 teammate attributes

• 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 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 believe that data, innovation, and technology will enhance your effectiveness as an auditor, including leveraging data analytics.
• You are a teacher, lead by example, coach others, and lead through change with candor and optimism.
• You foster a trusting, collaborative, and inclusive environment to attract, hire, and retain top talent.

Qualifications

• Basic : Bachelor's Degree or military experience
• At least 3 years of experience in auditing, compliance, risk management, accounting, or a combination.

• Preferred :
  • At least 2 years of experience leading audit engagements, and performing in the role of auditor-in-charge.
  • 4+ years of experience in banking or financial services, in a professional services firm serving large banks, or a combination.
  • 4+ years of experience in one or more areas of compliance (e.g., consumer, brokerage, wealth management, or trust).
  • 1+ years of experience with data analytics tools and internal auditing data analysis.
  • Master's Degree (Accounting, Finance, or MBA).
  • Certifications: CIA, CPA, CRCM, or CAMS.

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 an office listed on this posting, with Fridays as enterprise-wide virtual work days.

Compensation and Benefits

The minimum and maximum full-time annual salaries are listed by location. Salaries for part-time roles will be prorated. Locations include Riverwoods, IL; Charlotte, NC; Chicago, IL; McLean, VA; New York, NY; Plano, TX; Richmond, VA. An offer will reflect the location pay range at hire. This role is eligible for performance-based incentive compensation, including cash bonuses and/or long-term incentives.

Capital One offers a comprehensive benefits package. Eligibility varies by status and level. For accommodations related to the application process, please contact Capital One Recruiting.

Capital One is an equal opportunity employer. All information provided will be kept confidential and used only to provide needed accommodations. For technical questions about recruiting, contact Careers@capitalone.com.

Capital One does not provide or guarantee third-party products or services information found on this site. Positions posted for Canada, the United Kingdom, or the Philippines are for respective Capital One entities only.

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