Senior Staff Auditor, Compliance (Hybrid)

Overview

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.

Responsibilities

• Perform risk-based reviews and assessments of compliance with federal, state, and other legal regulations and business activities.
• 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 according to schedule and meets our 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 2 years of experience in auditing one or more of the following areas: banking or financial services industry, risk management, or consumer compliance.

Preferred Qualifications

• Master’s Degree in Auditing, Master’s Degree in Accounting, Master’s Degree in Information Systems or Master of Business Administration
• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Risk Compliance Manager (CRCM), or relevant certification
• 2+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination
• 2+ years of experience performing data analysis in support of internal auditing
• At least 1 year of experience in corporate compliance
• At least 1 year of experience with data analytics tools in support of internal audit