Principal Auditor, (Experienced Senior Auditor) AML/Fraud and Ethics Audits (Hybrid)

About the role

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. Capital One is seeking an energetic, self-motivated Principal Auditor to join the AML/Fraud and Ethics Audit team. As a member of this 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.

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 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.

Qualifications

• Bachelor's Degree or military experience
• At least 4 years of experience in auditing, Anti-Money Laundering, Fraud or Sanctions, or a combination

Preferred Qualifications

• Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), or Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification
• 5+ 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

Skills

You are a critical thinker who seeks to understand the business and its control environment. 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. 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.

Pay

• Charlotte, NC: $109,900 – $125,400
• McLean, VA: $120,800 – $137,900
• New York, NY: $131,800 – $150,500
• Plano, TX: $109,900 – $125,400
• Richmond, VA: $109,900 – $125,400

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered will be reflected in the candidate’s offer letter. This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives.

Schedule

This role is hybrid; associates typically spend 3 days per week in-person at one of Capital One’s offices.