Audit Director, AML / Financial Crimes Compliance

  • Company: Capital One
  • Location: New York, New York
  • Posted: November 17, 2016
  • Reference ID: R14526
NYC 299 Park Avenue (22957), United States of America, New York, New York

Audit Director, AML / Financial Crimes Compliance

Capital One is different–we may be a top-10 bank by deposits, but we operate with the drive, creativity and innovation of a tech start-up. So if you think different, this may be a position for you. 

Corporate Audit Services (CAS), 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 CAS department is considered one of the leading internal audit functions within the financial services industry and is highly regarded within Capital One. CAS 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 CAS vision of Innovate ContinuallyPerform Brilliantly, and Set the Standard create a dynamic and challenging atmosphere for both personal growth and professional opportunity.

As the enterprise, independent testing function for Bank Secrecy Act (BSA) and AML Compliance, the Financial Crimes Compliance Audit Team plays a critical role as one of the four pillars of the Capital One AML Compliance Program. A Director on the Financial Crimes Compliance Audit team will be responsible for designing and executing a risk-based testing strategy to ensure the quality of AML risk management is effective across all lines of business within Capital One. The Director will provide input into the development of the ongoing audit plan and ensure the team maintains a comprehensive understanding of the AML risk profile of the audit universe. The Director will also be expected to provide effective leadership, coaching, and training to the team in order to foster development, collaboration, and exceptional teamwork.


- Manage internal audit staff responsible for BSA / AML audit functions as well as other diverse lines of business and specialty areas. Provide major input to audit engagement planning and fieldwork, as well as identification, development and documentation of audit issues, and recommendations for their improvement.

- Provide subject matter expertise in the areas of BSA / AML audits

- Manage the implementation of audit procedures, including, but not limited to identifying and defining issues, reviewing and analyzing evidence, and documenting auditee processes and procedures. Oversee the identification and evaluation of Capital One risk.

- Assist in the planning, organizing, directing and monitoring of internal audit operations and have staff management responsibilities

- Manage the implementation of audit procedures, including (but not limited to) identifying and defining issues, reviewing and analyzing evidence, and documenting auditee processes and procedures, and prepare value added audit reports.

An ideal candidate will have the following:  Deep subject matter expertise in AML compliance; large financial services experience; strong communication skills, both verbal and written; and strong problem-solving and logical reasoning skills.

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 make 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. 

Basic Qualifications:

- Bachelor’s Degree or military experience

- At least 10 years of experience in auditing, at least 10 years in compliance, at least 10 years in risk management, or a combination

- At least 6 years of experience in supervisory or project management role including experience managing audit engagements.

- At least 5 years of experience in Anti-Money Laundering (AML) compliance

Preferred Qualifications:

- 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), or Certified Regulatory Compliance Manager (CRCM)

- 5+ years of experience in BSA, US PATRIOT Act, and Office of Foreign Assets Control (OFAC) requirements

- 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.

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