Information Systems (IS) Audit Manager

  • Company: Capital One
  • Location: Richmond, Virginia
  • Posted: January 18, 2017
  • Reference ID: R17710
West Creek 2 (12072), United States of America, Richmond, Virginia

Information Systems (IS) Audit Manager

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 Committees. 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, recommendations, advice and counsel. In addition, the CAS prides itself on having a dynamic and challenging atmosphere for both personal growth and professional opportunity.

Capital One is seeking an energetic, self-motivated Information Systems (IS) Audit Manager interested in becoming part of our Corporate Audit Services team. As a member of the IS Audit team, the candidate will focus on audits of data governance and data management while also performing reviews of IT processes, applications, and core infrastructure. In addition, the manager will work closely with members of the IS, operational, and finance audit teams as it relates to supporting audits of key operational and regulatory reporting processes. Each audit assignment enables the candidate to demonstrate business, technical, analytical, and industry knowledge while assessing business risks, evaluating data quality, identifying key controls, and performing risk-based testing. The candidate will also facilitate knowledge sharing of best practices and industry trends to team members, and contribute to thought leadership activities within the IS Audit team. The candidate will work independently, with guidance from Audit management as needed. Career development and growth opportunities exist through our established training programs within the Corporate Audit Services team, as well as in IT and business functions. The candidate will be expected to maintain all organizational and professional ethical standards.


  • Leads audits or significant components of audits, including data governance, data infrastructure, application, and project audits. Develops engagement planning documentation to communicate rationale for scoping decisions and develops audit programs to ensure adequate coverage of risk.
  • Designs and executes internal control testing for audits, demonstrating a degree of audit expertise consistent with experience level. Understands the broader context and implications of the various risks affecting the business.
  • Designs and executes analytical and automated test procedures to evaluate data quality and the completeness and accuracy of data utilized in key management and regulatory reports.
  • Supervises and coordinates work assignments amongst audit team members. Provides timely feedback and coaching to audit staff.
  • Establishes and maintains good auditee relations during engagements. Identifies the expectations of the auditee and takes actions to support the auditee experience.
  • For major components of audits, assesses relevancy of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrates awareness of big picture issues. Interprets business priorities, anticipates issues and obstacles, and applies to scope of role. Identifies and implements efficiencies in executing test work.
  • Manages timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative tasks. Self-prioritizes and independently completes multiple tasks across the team and department. Demonstrates the ability to successfully meet deadlines for the audit engagement.
  • On audit engagements, facilitates teamwork, coordinates and leverages available resources to complete engagements on time. Builds and utilizes relationships outside immediate Corporate Audit Services team to improve overall quality.
  • Effectively communicates audit process scope, protocol, issues, risks and recommendations to clients during kick-off, periodic status updates, and exit meetings

Here's what we're looking for in an ideal teammate:

  • 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 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 technical knowledge will only make you a better Auditor. This will require leveraging the power of data analytics and furthering your technical know-how, so you’ll want to ensure that technology doesn’t scare you off.
  • You're a teacher. You have a passion for coaching and investing in the betterment 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 5 years of experience in information systems or data management auditing, at least 5 years of experience in information systems risk management, or a combination

- At least 2 years of experience in leading audits and performing in the role of auditor-in-charge

Preferred Qualifications:

- Master’s Degree in Auditing, Accounting, Finance, Economics, Information Systems or Business Administration

- Certified or working towards one of the following professional certifications:  Certified Information Systems Auditor (CISA), Certified Internal Auditor (CIA) or Certified Public Accountant (CPA)

- 2+ years of experience in Banking or 2+ years of experience in financial services industry

- 3+ years of working knowledge of IT control frameworks such as CobIT, their application to audits of IT controls, and experience in performing audits of technical nature

- 3+ years of experience with data analytics tools

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

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