Senior Audit Manager, Corporate Compliance (Hybrid)
Capital One
Senior Audit Manager, Corporate Compliance (Hybrid)
Job Description
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.Capital One is seeking an energetic, self-motivated Audit Senior Manager interested in becoming part of our Audit team. In this role as a member of the Corporate Compliance Audit Team, the candidate will have the opportunity to lead professional internal auditing work that involves conducting compliance-related audit projects and providing input to the annual audit plan.Responsibilities include:Plan, perform, and lead large/complex compliance-related audits at the enterprise level as well as other diverse lines of business and specialty areas.
Help to implement the team's strategic imperatives/priorities.
Establish and build working relationships with internal and external management.
Provide significant input into the development of the annual audit plan.
Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes.
Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
Communicate the results of audit projects to management (written reports/oral presentations).
Manage staff during audit engagements and provide feedback on work performed.
You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions and test assumptions.
You seek to deepen relationships and shared objectives with your business partners to deliver an elevated value proposition and outstanding business results.
You’re a firm believer that data will only make you a better Auditor. This part will require looking at some data, so you’ll want to ensure that analytics doesn’t scare you off.
You're a strong people leader and teacher. You have a passion for coaching and investing in the development of your team.
Lastly, you create energy and an environment that makes it easy to attract, hire, and retain top talent.
Bachelor’s Degree or military experience
At least 7 years of experience in auditing, compliance, risk management or a combination
At least 5 years of experience in leading audit engagements or performing in the role of auditor-in-charge
At least 1 year of experience in people management
5+ years of experience in one or more areas of compliance, such as consumer compliance or brokerage compliance.
10+ years of experience in banking or the financial services industry
2+ years of experience with data analytics tools in support of internal audit
1+ years of experience with privacy compliance in the financial services industry
Certified Regulatory Compliance Manager (CRCM); Certified Internal Auditor (CIA) or Certified Public Accountant (CPA)
The minimum and maximum full-time 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 part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
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 to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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 at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. 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 One's recruiting process, please send an email to Careers@capitalone.comCapital One does not provide, endorse nor guarantee and is not liable for third-party 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).
Locations
- Charlotte, North Carolina, United States
- Chicago, Illinois, United States
- Richmond, Virginia, United States
- McLean, Virginia, United States
- Plano, Texas, United States
- New York, New York, United States
- Riverwoods, Illinois Charlotte, North Carolina
Salary
80,000 - 135,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- audit planning and leadershipintermediate
- data analyticsintermediate
- people managementintermediate
- compliance auditingintermediate
- relationship buildingintermediate
- strategic planningintermediate
Required Qualifications
- Bachelor’s Degree or military experience (experience)
- At least 7 years of experience in auditing, compliance, risk management or a combination (experience)
- At least 5 years of experience in leading audit engagements (experience)
- At least 1 year of experience in people management (experience)
- 5+ years of experience in compliance areas such as consumer or brokerage compliance (preferred) (experience)
- 10+ years of experience in banking or financial services (preferred) (experience)
- 2+ years of experience with data analytics tools (preferred) (experience)
- Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) (preferred) (experience)
Responsibilities
- Plan, perform, and lead large/complex compliance-related audits
- Help implement the team's strategic imperatives/priorities
- Establish and build working relationships with internal and external management
- Provide significant input into the development of the annual audit plan
- Design and perform compliance audit procedures
- Leverage data and analytical tools during audit phases
- Communicate audit results to management
- Manage staff during audit engagements and provide feedback
Benefits
- general: comprehensive, competitive, and inclusive set of health, financial and other benefits
Answer 10 quick questions to check your fit for Senior Audit Manager, Corporate Compliance (Hybrid) @ Capital One.
Related Books and Jobs
Senior Audit Manager, Corporate Compliance (Hybrid)
Capital One
Senior Audit Manager, Corporate Compliance (Hybrid)
Job Description
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.Capital One is seeking an energetic, self-motivated Audit Senior Manager interested in becoming part of our Audit team. In this role as a member of the Corporate Compliance Audit Team, the candidate will have the opportunity to lead professional internal auditing work that involves conducting compliance-related audit projects and providing input to the annual audit plan.Responsibilities include:Plan, perform, and lead large/complex compliance-related audits at the enterprise level as well as other diverse lines of business and specialty areas.
Help to implement the team's strategic imperatives/priorities.
Establish and build working relationships with internal and external management.
Provide significant input into the development of the annual audit plan.
Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes.
Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
Communicate the results of audit projects to management (written reports/oral presentations).
Manage staff during audit engagements and provide feedback on work performed.
You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions and test assumptions.
You seek to deepen relationships and shared objectives with your business partners to deliver an elevated value proposition and outstanding business results.
You’re a firm believer that data will only make you a better Auditor. This part will require looking at some data, so you’ll want to ensure that analytics doesn’t scare you off.
You're a strong people leader and teacher. You have a passion for coaching and investing in the development of your team.
Lastly, you create energy and an environment that makes it easy to attract, hire, and retain top talent.
Bachelor’s Degree or military experience
At least 7 years of experience in auditing, compliance, risk management or a combination
At least 5 years of experience in leading audit engagements or performing in the role of auditor-in-charge
At least 1 year of experience in people management
5+ years of experience in one or more areas of compliance, such as consumer compliance or brokerage compliance.
10+ years of experience in banking or the financial services industry
2+ years of experience with data analytics tools in support of internal audit
1+ years of experience with privacy compliance in the financial services industry
Certified Regulatory Compliance Manager (CRCM); Certified Internal Auditor (CIA) or Certified Public Accountant (CPA)
The minimum and maximum full-time 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 part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
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 to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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 at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. 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 One's recruiting process, please send an email to Careers@capitalone.comCapital One does not provide, endorse nor guarantee and is not liable for third-party 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).
Locations
- Charlotte, North Carolina, United States
- Chicago, Illinois, United States
- Richmond, Virginia, United States
- McLean, Virginia, United States
- Plano, Texas, United States
- New York, New York, United States
- Riverwoods, Illinois Charlotte, North Carolina
Salary
80,000 - 135,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- audit planning and leadershipintermediate
- data analyticsintermediate
- people managementintermediate
- compliance auditingintermediate
- relationship buildingintermediate
- strategic planningintermediate
Required Qualifications
- Bachelor’s Degree or military experience (experience)
- At least 7 years of experience in auditing, compliance, risk management or a combination (experience)
- At least 5 years of experience in leading audit engagements (experience)
- At least 1 year of experience in people management (experience)
- 5+ years of experience in compliance areas such as consumer or brokerage compliance (preferred) (experience)
- 10+ years of experience in banking or financial services (preferred) (experience)
- 2+ years of experience with data analytics tools (preferred) (experience)
- Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) (preferred) (experience)
Responsibilities
- Plan, perform, and lead large/complex compliance-related audits
- Help implement the team's strategic imperatives/priorities
- Establish and build working relationships with internal and external management
- Provide significant input into the development of the annual audit plan
- Design and perform compliance audit procedures
- Leverage data and analytical tools during audit phases
- Communicate audit results to management
- Manage staff during audit engagements and provide feedback
Benefits
- general: comprehensive, competitive, and inclusive set of health, financial and other benefits
Answer 10 quick questions to check your fit for Senior Audit Manager, Corporate Compliance (Hybrid) @ Capital One.
Related Books and Jobs