Principal Auditor

Melville 1 (22567), United States of America, Melville, New York

Principal Auditor

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 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. Career development and growth opportunities exist through our established training programs within the Corporate Audit Services team.  The candidate will be expected to maintain all organizational and professional ethical standards.


- 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.

Basic Qualifications should include a combination of:

- Bachelor’s Degree or military experience

- At least 3 years of experience in auditing

- At least 3 years of experience in consumer compliance, or at least 3 years of experience in regulatory examinations, or a combination of both

- At least 2 years of experience in leading audits and/or performing in the role of auditor-in-charge on small to moderate audits or projects

Preferred Qualifications:

-  Master’s Degree in accounting, business administration, finance or economics

- Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Regulatory Compliance Manager (CRCM)  

- 2+ year experience in banking or 2+ year experience in financial services industry

- 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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