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
- Lead small audits, or own completion of significant components of larger 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 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 across the team to deliver quality results.
- 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.
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.
- Ability to work hybrid schedule with required in-person days at listed office locations.
