Manager, Compliance Audit (Consumer)

  • Company: Capital One
  • Posted: May 06, 2016
  • Reference ID: R2859
Plano Town Center (31064), United States of America, Plano, Texas

Manager, Compliance Audit (Consumer)

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 Continually, Perform Brilliantly, and Set the Standard create a dynamic and challenging atmosphere for both personal growth and professional opportunity.

This position, Manager, Compliance Audit, will be responsible for the coordination and execution of consumer compliance related audit efforts. Additionally, as a part of the broader Audit Team, the candidate will also lead or contribute to other audits as determined through audit planning processes.  All associates are expected to maintain organizational and professional ethical standards and exercise initiative and independent judgment.

Responsibilities include:

  • Plan, perform, and lead compliance audits at the enterprise level and/or of diverse and complex regulations and businesses;
  • Perform compliance risk assessments of business activities, potential risks exposures, and materiality of loss;
  • Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes;
  • Provide significant input into the development of the annual audit plan;
  • Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery;
  • Establish and build working relationships with internal and external management; 
  • Communicate the results of audit projects to management (written reports/oral presentations); and
  • Manage staff during audit engagements and provide feedback on work performed.

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.

In addition, an ideal candidate will have the following:  strong knowledge and expertise in consumer laws and regulations; strong communication skills, both verbal and written; and strong problem-solving and logical reasoning skills.

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 audit, at least 5 years of experience in compliance, at least 5 years of experience in regulatory examinations, or a combination
  • At least 2 years of experience in a large financial services institution
  • At least 2 years of experience managing audit engagements

Preferred Qualifications:

  • Master’s Degree in accounting, business administration, finance or economics
  • Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) or Certified Regulatory Compliance Manager (CRCM)
  • 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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