Capital One
Audit Director, FCC & Compliance (Hybrid)
Capital One, Plano, Texas, us, 75086
Center 1 (19052), United States of America, McLean, Virginia
Audit Director, FCC & Compliance (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 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. Inspired by our colleagues, we are risk identifiers, challengers, influencers, and transformational leaders who drive impactful work for the enterprise. Capital One is seeking an energetic, self-motivated Audit Director interested in becoming part of our Audit team. As a member of the Compliance Audit team, the candidate will focus on developing and leading the strategic approach for all aspects of compliance and/or financial crimes compliance across the bank. A Director on the Compliance Audit team will be responsible for designing and executing a risk-based testing strategy to ensure the quality of Consumer and Commercial Compliance risks, AML, Sanctions and Fraud risk management is effective across all lines of business within Capital One. Responsibilities: Lead and/or execute operational related audits within Capital One, including the supervision of audit staff on related audit engagements. Proactively monitor the assigned audit universe for changing risks and needed updates. Lead continuous monitoring activities and updates to risk assessments, audit universe, and audit plan. Direct business unit and project audits across assigned portfolios. Review engagement planning documentation and audit programs to ensure adequate coverage of risk and sufficient rationale for audit scope. Supervise and coordinate work assignments amongst audit team members. Provide timely feedback, on-the-job training and coaching to audit staff and direct reports. Establish and maintain good relationships with key business and audit partners. Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus. Provide subject matter expertise to audit partners and ensure comprehensive audit coverage of owned risk domains. Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues. 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. Manage timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative activities. 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 develop influential relationships based upon shared risk objectives and trust. You're a firm believer that a rich understanding of data, innovation, and technology will only make you a better auditor. You're a teacher. You do the right thing and lead by example. You create energy and an environment that fosters trust, collaboration, and belonging. Basic Qualifications: Bachelor's degree or military experience At least 10 years of experience in auditing, risk management or a combination At least 5 years of experience in banking or financial services At least 3 years of experience in people management Preferred Qualifications: Master's Degree in Accounting, Finance, Economics, or Business Administration Professional certification such as CPA, CIA, CFA, CRM, CBCP, CTPRP or APRP Experience with operational resiliency, third party risk management, business continuity risk management, payments risk, country risk or a combination 12+ years of experience in internal auditing, first or second line risk management, or a combination 7+ years of experience in banking or financial services 7+ years of experience in leadership or supervisory roles 3+ years of experience managing audit engagements 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 typically spend about half their time (2-3 days per week) in-person at one of our offices listed on this job posting. 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. This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. This role is expected to accept applications for a minimum of 5 business days. No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace.
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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. Inspired by our colleagues, we are risk identifiers, challengers, influencers, and transformational leaders who drive impactful work for the enterprise. Capital One is seeking an energetic, self-motivated Audit Director interested in becoming part of our Audit team. As a member of the Compliance Audit team, the candidate will focus on developing and leading the strategic approach for all aspects of compliance and/or financial crimes compliance across the bank. A Director on the Compliance Audit team will be responsible for designing and executing a risk-based testing strategy to ensure the quality of Consumer and Commercial Compliance risks, AML, Sanctions and Fraud risk management is effective across all lines of business within Capital One. Responsibilities: Lead and/or execute operational related audits within Capital One, including the supervision of audit staff on related audit engagements. Proactively monitor the assigned audit universe for changing risks and needed updates. Lead continuous monitoring activities and updates to risk assessments, audit universe, and audit plan. Direct business unit and project audits across assigned portfolios. Review engagement planning documentation and audit programs to ensure adequate coverage of risk and sufficient rationale for audit scope. Supervise and coordinate work assignments amongst audit team members. Provide timely feedback, on-the-job training and coaching to audit staff and direct reports. Establish and maintain good relationships with key business and audit partners. Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus. Provide subject matter expertise to audit partners and ensure comprehensive audit coverage of owned risk domains. Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues. 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. Manage timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative activities. 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 develop influential relationships based upon shared risk objectives and trust. You're a firm believer that a rich understanding of data, innovation, and technology will only make you a better auditor. You're a teacher. You do the right thing and lead by example. You create energy and an environment that fosters trust, collaboration, and belonging. Basic Qualifications: Bachelor's degree or military experience At least 10 years of experience in auditing, risk management or a combination At least 5 years of experience in banking or financial services At least 3 years of experience in people management Preferred Qualifications: Master's Degree in Accounting, Finance, Economics, or Business Administration Professional certification such as CPA, CIA, CFA, CRM, CBCP, CTPRP or APRP Experience with operational resiliency, third party risk management, business continuity risk management, payments risk, country risk or a combination 12+ years of experience in internal auditing, first or second line risk management, or a combination 7+ years of experience in banking or financial services 7+ years of experience in leadership or supervisory roles 3+ years of experience managing audit engagements 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 typically spend about half their time (2-3 days per week) in-person at one of our offices listed on this job posting. 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. This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. This role is expected to accept applications for a minimum of 5 business days. No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace.
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