Principal Auditor - AML / Financial Crimes Compliance
Location:
New York , New York
Posted:
November 17, 2016
Reference:
R14527
NYC 299 Park Avenue (22957), United States of America, New York, New York

Principal Auditor - AML / Financial Crimes Compliance

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.

CAS is seeking an energetic, self-motivated mid-level Principal Auditor to join the Financial Crimes Compliance Audit team. The Principal Auditor will perform professional internal auditing work that involves conducting operational, financial and compliance audit projects and providing input to the annual audit plan. The Principal Auditor will be responsible for maintaining all organizational and professional ethical standards.

Responsibilities:

  • Oversee major components of business units and lead small to medium size audits. Perform risk assessments of business activities, potential exposures and the materiality of loss. Design and perform appropriate audit procedures to verify the effectiveness.
  • Design and execute internal control testing for operations of moderate complexity. Perform and often plan audit tasks of moderate difficulty, demonstrating a degree of audit expertise consistent with experience level.
  • Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
  • Establish and maintain good client relations during engagements.
  • Begin communicating the results of some audit projects to management via written reports and oral presentations.

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

  • You believe insight and initiative are core elements to leading the department’s risk assessment and audit planning processes.
  • You are intellectually curious and proactively monitor industry practices, develop and embrace bold ideas, and effectively implement change. 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 impact and elevate Practice’s value proposition.
  • You’re a firm believer that a rich understanding of data, innovation, and technical knowledge will only make you a better professional. You enjoy leveraging the power of data analytics, ensuring results shared with senior leadership are timely, accurate, and key messages are effectively communicated.
  • You're a teacher. You will develop and deliver risk assessment and audit planning training to the department. You also 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 3 years of experience in auditing, at least 3 years of experience in accounting, at least 3 years of experience in financial analysis, at least 3 years of experience in compliance or a combination
  • At least 2 years of experience in leading audits and performing in the role of auditor-in-charge

Preferred Qualifications:

  • Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Regulatory Compliance Manager (CRCM)
  • 1+ year experience in banking or 1+ year experience in financial services industry
  • 1+ year 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.

A little about us:
Headquartered in McLean, Virginia, Capital One® offers a broad array of financial products and services to consumers.

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