Senior Audit Manager, Financial Crime Compliance (FCC) at Capital One (Washington DC)
Senior Audit Manager, Financial Crime Compliance (FCC)
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 Manager interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on audits of Financial Crime Compliance.
- Plan, perform, and lead large/complex Financial Crime Compliance (FCC) 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
- Perform BSA/AML, and Fraud risk assessments of business activities, potential risks exposures, and materiality of loss
- 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 direct reports and staff during audit engagements and provide feedback on work performed.
Here's what we're looking for in an ideal teammate:
- 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 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.
As one of the "100 Best Companies to Work For," you can look forward to coming to work every day with a team of people that are committed to excellence and doing the right thing.
- Bachelor's Degree or military experience
- At least 7 years of experience in auditing, at least 7 years in compliance, at least 7 years in risk management, or a combination
- At least 5 years of experience in financial crime compliance
- At least 5 years of experience leading audits and performing in the role of auditor-in-charge
- Master's Degree in Auditing, Master's Degree in Accounting, Master's Degree in Finance, or Master of Business Administration
- Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE)
- 10+ years of experience in auditing, 10+ years in compliance, 10+ years in risk management, or a combination
- 10+ years of experience in one or more areas of compliance, such as consumer, Anti-Money Laundering (AML), brokerage, wealth management, or trust.
- 1+ years of experience with data analytics tools in support of internal audit
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.
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 [email protected] . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
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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).