Director Audit- Compliance
Director Audit- Compliance
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Job Description
Overview:
Capital Ones Audit function is a dedicated group of professionals focused on delivering topquality assurance services to the organizations Audit Committee. Audit professionals are experienced welltrained and credentialed and operate within a collaborative agile environment to deliver valueadded opinions and recommendations. Audits vision to provide high value independent proactive insights to innovate with technology and to be a topnotch talent destination creates a dynamic and challenging atmosphere for both personal growth and professional opportunity.
Capital One is seeking an energetic selfmotivated Audit Director interested in becoming part of our Audit team. As a member of the Compliance Audit team the candidate will focus on all aspects of compliance across the bank to include consumer compliance audits.
Responsibilities:
Lead and/or execute compliance related audits within Capital One including the supervision of audit staff on related audit engagements.
Proactively monitor assigned audit universe for changing risks and needed updates. Lead continuous monitoring activities and updates to risk assessments audit universe and audit plan.
Direct business unit and project audits across assigned portfolio.
Review engagement planning documentation and audit programs to ensure adequate coverage of risk and sufficient rationale for audit scope.
Supervise and coordinate work assignments amongst audit team members. Provide timely feedback onthejob training and coaching to audit staff and direct reports.
Establish and maintain good relationships with key business and audit partners. Leverage specialized knowledge and skills providing management with insight into their area of subjectmatter focus. Effectively represent internal audit at management meetings internal forums and to external organizations.
Assess relevance of audit findings potential exposures materiality and demonstrate awareness of big picture issues. Interpret business priorities anticipate issues and obstacles and apply to scope of role.
Deliver appropriate succinct and organized information tailoring communication style to audience. Effectively review and compile relevant material findings and recommendations into readable and concise audit reports.
Manage timely and quality delivery of multiple tasks including audits projects special assignments and administrative activities. Selfprioritize and independently complete multiple tasks across the team and department.
Heres what were looking for in an ideal teammate:
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 Ones 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 Audits value proposition.
Youre 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.
Youre 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.
Basic Qualifications:
Bachelors degree or military experience
At least 10 years of experience in auditing at least 10 years of experience in compliance or at least 10 years of experience in risk management or a combination
At least 5 years of experience in banking or financial services
At least 3 years of experience in people management
At least 3 years of experience managing audit engagements
Preferred Qualifications:
Masters Degree in Accounting Finance Economics or Business Administration
Professional certification such as Certified Public Accountant (CPA) Certified Internal Auditor (CIA) Chartered Financial Analyst (CFA) Certified Risk Manager (CRM) or Certified Regulatory Compliance Manager (CRCM)
Experience with consumer compliance privacy and conduct risk management
12 years of experience in internal auditing regulatory compliance first or second line risk management or a combination
7 years of experience in banking or financial services
7 years of experience in leadership or supervisory roles
1 years of experience performing data analysis in support of internal auditing
At this time Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum fulltime annual salaries for this role are listed below by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for parttime roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Charlotte NC: $181800 $207500 for Audit DirectorCandidates hired to work in other locations will be subject to the pay range associated with that location and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidates offer letter.
This role is also eligible to earn performance based incentive compensation which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.Capital One offers a comprehensive competitive and inclusive set of health financial and other benefits that support your total wellbeing. Learn more at theCapital One Careers website. Eligibility varies based on full or parttime status exempt or nonexempt status and management level.
This role is expected to accept applications for a minimum of 5 business days.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 (including pregnancy childbirth or related medical conditions) race color age national origin religion disability genetic information marital status sexual orientation gender identity gender reassignment citizenship immigration status protected veteran status or any other basis prohibited under applicable federal state or local law. Capital One promotes a drugfree 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 23A of the New York Correction Law; San Francisco California Police Code Article 49 Sections; New York Citys Fair Chance Act; Philadelphias Fair Criminal Records Screening Act; and other applicable federal state and local laws and regulations regarding criminal background inquiries.If you have visited our website in search of information on employment opportunities or to apply for a position and you require an accommodation please contact Capital One Recruiting ator via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital Ones recruiting process please send an email to
Capital One does not provide endorse nor guarantee and is not liable for thirdparty products services educational tools or other information available through this site.
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).
Required Experience:
Director
Employment Type
Full-Time
