Principal Auditor, Information Systems

  • Company: Capital One
  • Location: McLean, Virginia
  • Posted: November 25, 2016
  • Reference ID: R14962
McLean 1 (19050), United States of America, McLean, Virginia

Principal Auditor, Information Systems

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 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 collaborative, agile 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. 

Capital One is seeking an energetic, self-motivated Principal Auditor interested in becoming part of our Corporate Audit Services team. As a member of the Information Systems (IS) Audit team, the candidate will primarily focus on strategic projects (e.g., acquisitions, system implementations, and business transformations), as well as audits of IT processes, and applications. The Principal Auditor will demonstrate a general knowledge of IT systems development concepts, such as Agile. In addition, the Principal Auditor will work closely with members of the IS, operational, and finance audit teams as it relates to IT’s supporting role for key processes.

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.


  • Perform risk assessments of business units and strategic projects to design and perform appropriate audit procedures to verify the effectiveness of existing controls, identify and defines issues, review and analyze evidence, and document client processes and procedures.
  • Oversees major components of audits and leads small to medium size audits. Performs risk assessments of business and project activities to determine potential exposures and the materiality of loss. Provides input into the development of the annual audit plan.
  • Designs and performs appropriate audit procedures to verify the effectiveness of existing controls, identifies and defines issues, reviews and analyzes evidence, and documents auditee processes and procedures. Designs and executes internal control testing
  • Understand the broader context and implications of the various types of risk affecting the business and project (e.g., financial, legal, reputational, etc.).
  • Establishes and maintains good client relations during engagements. Communicates or assists in communicating the results of some audit projects to management via written reports and oral presentations.
  • Identify expectations of the client and take actions to support the client experience.
  • Prepare clear, organized and complete documentation to support work performed.
  • Self prioritize and effectively plan own work activities managing multiple priorities and tasks across the team to deliver quality results.
  • Coordinate with others and proactively take on additional work.
  • Deliver appropriate, succinct and organized information, tailoring communication style to audience.
  • Effectively communicate information, issues and audit progress to teammates, clients and auditor-in-charge.

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:

  • Master’s Degree in Accounting or Master’s Degree in Finance or Master’s Degree in Economics, or Master of Business Administration
  • Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) or Certified Regulatory Compliance Manager (CRCM) or Certified Information Systems Auditor (CISA) or Certified Bank Auditor (CBA)
  • 2+ years of experience in Banking or 2+ years of experience in financial services industry
  • 1+ years of experience performing data analysis in support of internal auditing

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

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