Principal Auditor, Corporate Compliance Audits
Capital One
Principal Auditor – Corporate Compliance Audits
Capital One
full-time
Posted on:
Origin: • 🇺🇸 United States • Illinois, New York, North Carolina
Visit company websiteSalary
💰 $106,700 - $146,100 per year
Job Level
Senior
About the role
- Focus on operations of investment (securities and transactions)
- Lead small audits, or own completion of significant components of larger audits
- Develop engagement planning documentation to communicate rationale for scoping decisions and develop audit programs
- Design and execute appropriate audit procedures to verify the effectiveness of internal controls
- Document auditee processes and procedures, review and analyze 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 information and audit progress to team, clients and auditor-in-charge
- Self-prioritize and effectively plan your own work activities managing multiple priorities and tasks
- Proactively take on additional work to support the team when possible
- Provide coaching, on-the-job training, and feedback to audit staff, including junior associates and recent hires
- Leverage data analytics and technical expertise to enhance audit quality
Requirements
- Bachelor's Degree or military experience
- At least 3 years of experience in auditing, compliance, risk management, accounting, or a combination
- At least 2 years of experience leading audit engagements and performing in the role of auditor-in-charge (preferred)
- 4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination (preferred)
- 4+ years of experience in one or more areas of compliance, such as consumer, brokerage, wealth management, or trust (preferred)
- 1+ years of experience with data analytics tools and performing data analysis in support of internal auditing (preferred)
- Master's Degree in Accounting, Master's Degree in Finance, or Master of Business Administration (preferred)
- Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Anti-Money Laundering Specialist (CAMS) (preferred)
- At this time, Capital One will not sponsor a new applicant for employment authorization for this position
