Sr. Audit Manager, Financial Services
The Internal Audit function within Capital One is a dedicated group of audit professionals focused on delivering top quality assurance services to the organization's Audit and Risk Committee. The Audit department is considered one of the leading internal audit functions within the financial services industry and is highly regarded within Capital One. Audit professionals are experienced, well-trained and credentialed, and operate within a highly collaborative team environment to deliver value added opinions and recommendations. In addition, the Audit vision of Innovate Continually , Perform Brilliantly , and Set the Standard creates a dynamic and challenging atmosphere for both personal growth and professional opportunity.
Audit is seeking an energetic, self-motivated Sr. Audit Manager with financial services experience, specifically consumer lending, to join our Audit team. As a member of the Audit team, the Sr. Audit Manager will be responsible for primarily leading audits related to consumer lending (credit card and auto finance) and corporate functions (HR and Legal), working closely with members of the technology, compliance, and finance audit teams who support these key audit projects. Each audit assignment enables the Sr. Audit Manager to demonstrate business, technical and industry knowledge while assessing business risks, identifying key controls, and performing risk-based testing. Career development and growth opportunities exist through our established training programs within the Audit team, as well as in the business function. The Sr. Audit Manager will be responsible for maintaining all organizational and professional ethical standards.
- Proactively monitor assigned audit universe for needed updates. Participate in continuous monitoring activities and update risk assessments, audit universe, and audit plan as needed.
- Direct or lead large, complex business unit and project audits.
- Develop engagement planning documentation to communicate rationale for scoping decisions, and develop audit programs to ensure adequate coverage of risk.
- Design and sometimes execute internal control testing for audits, demonstrating a degree of audit expertise consistent with experience level. Understand the broader context and implications of risks affecting the business. Identify and implement efficiencies in executing test work.
- Supervise and coordinate work assignments amongst audit team members. Provide timely feedback, on-the-job training, and coaching to audit staff.
- Establish and maintain good relationships with key business and audit partners.
- Effectively communicate audit process, scope, protocol, issues, risks and recommendations during kick-off, periodic status updates, and exit meetings. Appropriately tailor verbal and written communications based on audience.
- Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues. Interpret business priorities, anticipate issues and obstacles, and apply to scope of role.
- Manage timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department. Demonstrate the ability to successfully meet deadlines.
- Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus. May be called upon to effectively represent internal audit at management meetings, internal forums, and to some external organizations.
Here's what we're 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 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. This will require leveraging the power of data analytics and furthering your technical expertise.
- 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, making it easy to attract, hire, and retain top talent.
- Bachelor's Degree or military experience
- At least 7 years of experience in Auditing, at least 7 years of experience in financial analysis, at least 7 years of experience in compliance or a combination
- At least 5 years of experience in leading audit engagements or in project management
- 2+ years of experience in leading audits and performing in the role of auditor-in-charge
- 2+ years of experience in banking or 2+ years of experience in financial services industry
- 1+ years of experience auditing consumer lending products (i.e., credit cards or auto finance)
- 1+ years of experience performing data analysis in support of internal auditing
- Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) or Certified Regulatory Compliance Manager (CRCM) or Certified Information Systems Auditor (CISA) or Certified Bank Auditor (CBA)
- Master's degree in auditing, accounting, finance, economics, or business administration
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.
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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).