Principal Auditor – Corporate Compliance Audits
Capital One
Senior Audit Manager, Corporate Compliance
Capital One
full-time
Posted on:
Origin: • 🇺🇸 United States • Illinois, New York, North Carolina
Visit company websiteSalary
💰 $155,300 - $212,700 per year
Job Level
Senior
About the role
- Plan, perform, and lead large/complex compliance-related audits at the enterprise level and across diverse lines of business and specialty areas
- Help implement the team's strategic imperatives/priorities
- Establish and build working relationships with internal and external management
- Provide significant input into the development of the annual audit plan
- Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes
- Leverage available data and analytical tools during planning, fieldwork, and reporting phases of audit delivery
- Communicate the results of audit projects to management through written reports and oral presentations
- Manage staff during audit engagements and provide feedback on work performed
Requirements
- Bachelor’s Degree or military experience
- At least 7 years of experience in auditing, compliance, risk management or a combination
- At least 5 years of experience in leading audit engagements or performing in the role of auditor-in-charge
- At least 1 year of experience in people management
- 5+ years of experience in one or more areas of compliance (preferred), such as consumer compliance or brokerage compliance
- 10+ years of experience in banking or the financial services industry (preferred)
- 2+ years of experience with data analytics tools in support of internal audit (preferred)
- 1+ years of experience with privacy compliance in the financial services industry (preferred)
- Certifications preferred: Certified Regulatory Compliance Manager (CRCM); Certified Internal Auditor (CIA); Certified Public Accountant (CPA)
- At this time, Capital One will not sponsor a new applicant for employment authorization for this position
