Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
About The Position
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 engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that provide input to the annual audit plan. The Principal Auditor will be responsible for maintaining all organizational and professional ethical standards.
Requirements
- Bachelor's Degree or military experience
- At least 3 year of experience in auditing, Anti-Money Laundering, Fraud or Sanctions, or a combination
Nice To Haves
- Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), or Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification
- 4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination
- 1+ years of experience performing data analysis in support of internal auditing
Responsibilities
- Participate in major components of business units and lead small to medium size BSA / AML, Sanctions, and Fraud Compliance audits.
- Perform risk assessments of business activities and perform relevant testing based on the risks and processes associated with the area being audited.
- Assist in communicating issues, risks and recommendations to all levels of management.
- Operate independently and ensure work is completed to schedule and meets our high-quality standards.
- Develop and maintain strong and effective working relationships with key business partners and the extended Audit group.
- Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery.
- Proactively follow-up on agreed audit actions to ensure management delivers their commitments within the agreed timescales.
- Proactively seek out learning opportunities to enhance skills and competencies related to role.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Industry
Credit Intermediation and Related Activities
Number of Employees
5,001-10,000 employees
