Audits/Exams Assurance Manager - Commercial Bank Risk Office (NYC or Richmond)

NYC 299 Park Avenue (22957), United States of America, New York, New York

Audits/Exams Assurance Manager - Commercial Bank Risk Office (NYC or Richmond)

The Team:

The Capital One Commercial Banking division services a $50 billion loan portfolio, serving more than 4,100 clients and greater than 35,000 accounts. This role is part of the Business Engagement team within Commercial Bank (CBRO). The team leads operational risk management for the Commercial Bank. Departmental functions include: policies and procedures, training and awareness, operational risk framework, process identification and standards, control monitoring and testing, operational risk reporting, issue and event management, business continuity management, information security risk, third party management, risk identification, assessment, mitigation and reporting. The CBRO interacts with internal and external partners for audit and credit reviews, regulatory exams and compliance assessments and is the point of contact for all second line operational risk management including business continuity, third party management, information security, access management, model governance, SOX, RCSA, New Product Marketing Governance, and Basel II readiness including event and issue remediation.

Lead audit and exam engagements across the business units within the commercial bank. Including but not limited to:

  • Lead and coordinate on behalf of the Commercial business activities relating to Audit, Regulatory Exams and Credit Review.
  • Communicate audit scope, issues, risks and recommendations to management in written reports and oral presentations
  • Manage staff during audit engagements, and provide feedback on work performed. Ensure work is performed in a quality fashion that meets deadlines.
  • Develop and maintain effective working relationships with key business partners
  • On assurance engagements facilitate teamwork, coordinate and leverage available resources to complete engagements on time. Build and utilize relationships outside immediate Commercial Business Risk Office team to improve overall quality
  • Demonstrate flexibility in responding to changes in assignment and job responsibility.
  • Prepare business for upcoming Audit, Regulatory exam or Credit Review
  • Coordinate with 2nd and 3rd line of defense organizations to execute on assurance activities and other interactions.

Basic Qualifications:

  • Bachelor’s Degree or military experience
  • At least 5 years of experience in financial services
  • At least 2 years of experience in Compliance or Risk management, including experience with banking laws / regulations and processes
  • At least 2 years of experience leading audits or regulatory exams

Preferred Qualifications:

  • Commercial Bank experience
  • Experience with process breakdown, root cause analysis and risk mitigation
  • Experience in internal and/or external client management

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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