Audit Director, FCC & Compliance (Hybrid)

Capital One • New York, NY

402d • $202,400 - $231,000 • Hybrid

About The Position

The Audit Director for FCC & Compliance at Capital One is responsible for leading the Compliance Audit team, focusing on compliance and financial crimes compliance across the bank. This role involves designing and executing a risk-based testing strategy to ensure effective management of Consumer and Commercial Compliance risks, AML, Sanctions, and Fraud risk across all business lines. The Audit Director will also contribute to the ongoing audit plan and maintain a comprehensive understanding of the compliance risk profile within the audit universe.

Requirements

• 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

Nice To Haves

• 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, or country risk
• 12+ years of experience in internal auditing or risk management
• 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

Responsibilities

• Lead and execute operational audits within Capital One, supervising audit staff on related engagements.
• Proactively monitor the assigned audit universe for changing risks and necessary updates, leading continuous monitoring activities.
• 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 among audit team members, providing timely feedback and coaching.
• Establish and maintain relationships with key business and audit partners, leveraging specialized knowledge to provide insights.
• Provide subject matter expertise to audit partners, ensuring comprehensive audit coverage of owned risk domains.
• Assess relevance of audit findings and demonstrate awareness of big picture issues, interpreting business priorities and anticipating obstacles.
• Deliver organized information tailored to the audience, compiling relevant findings into concise audit reports.
• Manage timely and quality delivery of multiple tasks, including audits, projects, and administrative activities.

Benefits

• Comprehensive health insurance
• Financial benefits including performance-based incentives
• Inclusive set of benefits supporting total well-being
• Opportunities for professional development and growth

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Credit Intermediation and Related Activities
• Education Level: Bachelor's degree