DART Experienced Sr. Auditor, FCC/ Corporate Compliance (Hybrid)

Plano 3 (31063), United States of America, Plano, Texas

DART Experienced Sr. Auditor, FCC/ Corporate 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.

Capital One is seeking an energetic, self-motivated, and experienced Auditor interested in becoming part of our Dynamic Audit Resourcing Team (DART). As a member of DART, the candidate will focus on engagements involving Corporate Compliance, BSA/AML, Sanctions, and Fraud Compliance related audit projects that provide input to the annual audit plan. The Senior Auditor will be responsible for maintaining all organizational and professional ethical standards.

Responsibilities:

• Participate in and own completion of significant components of Financial Crime Compliance (FCC) audits and Corporate Compliance 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 perform audit procedures to verify the effectiveness of internal controls, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes
• Document auditee processes and procedures, review, analyze, and effectively challenge 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 results 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.

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, learn quickly and independently, 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 2 years of experience in auditing, accounting, financial analysis, compliance, risk management, Anti-Money Laundering, Fraud or Sanctions, or a combination.

Preferred Qualifications:

• Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), or Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification
• 3+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination
• 3+ years of experience auditing in the areas of Corporate Compliance, BSA/AML, Sanctions, and Fraud Compliance or any combination
• 2+ years of experience performing data analysis / data analytics techniques in support of internal auditing
• 1+ years of experience in planning and leading audits

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 of their time (2-3 days per week) in-person at one of our offices listed on this job posting. Monday and Fridays are enterprise-wide virtual work days. Tuesday, Wednesday, and Thursday are in-person days for associates to spend time together working in our beautifully- designed team areas.

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.

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. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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.

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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).