Principal Auditor (Experienced Senior Auditor) (R141577)
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 (Auditor in Charge) interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on audits of Second Line Operational Risk Management, including Third Party Risk Management, Business Continuity Risk Management, Payments Risk Management, Operational Risk Officers, and Operational Risk Reporting. The role will also provide Subject Matter Expertise and advisory to other audit teams regarding operational risk management.
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 audit processes and procedures, review and analyze evidence, and identify potential issues.
Prepare clear, organized, and complete documentation to support work performed and conclusions reached, and draft any 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.
Here's what we're looking for in an ideal teammate:
You are a critical thinker who seeks to understand the business and its control environment.
You are able to navigate ambiguity, applying risk management principles to real life situations.
You believe insight and objectivity are core elements to providing assurance on the effectiveness and efficiency of Capital One’s governance, risk management, and internal control processes.
You possess a relentless focus on quality and timeliness.
You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions, test assumptions, and challenge conventional thinking.
You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition.
You’re a firm believer that a rich understanding of data, innovation, and technology will only make you a better auditor. This will require leveraging the power of data analytics and furthering your technical expertise.
You're a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism.
You create energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.
Bachelor's Degree or military experience
At least 3 years of experience in auditing, in accounting, in financial analysis, in compliance, or a combination.
At least 1 year of experience in leading audits and performing in the role of auditor-in-charge
2+ years of experience in banking or in financial services
4-6 years experience in internal audit or risk management (can be combined with Big Four external Audit experience)
1+ years of experience in performing data analysis in support of internal auditing
Master’s Degree in Accounting, Master’s Degree in Finance or Master of Business Administration
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).