Senior Manager, Compliance Audit (Consumer)

  • Company: Capital One
  • Location: Richmond, Virginia
  • Posted: December 15, 2016
  • Reference ID: R15878
Locations: VA - Richmond, United States of America, Richmond, Virginia

Senior 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, Senior Manager, Compliance Audit, will lead and/or conduct consumer compliance related audit efforts, including the supervision of all audit staff on audit engagements. This person will design and execute internal controls testing in various lines of businesses within Capital One.  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;
  • 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.
  • Demonstrate strong knowledge and expertise in consumer laws and regulations
  • Exhibit strong communication skills, both verbal and written
  • Display strong problem-solving and logical reasoning skills

Basic Qualifications:

  • Bachelor’s Degree
  • At least 6 years of combined experience in internal audit or external audit, compliance, and/or regulatory examinations managing and directing
  • At least 4 years of experience in a large financial services institution
  • At least 4 years of experience of experience managing audit engagements

Preferred Qualifications:

  • Master’s Degree in accounting, business administration, finance or economics
  • Certified Internal Auditor (CIA) and/or Certified Regulatory Compliance Manager (CRCM)
  • 6+ years’ experience managing and directing audit associates on large complex audit projects to deliver value-added assurance services
  • At this time, Capital One will not sponsor a new applicant for employment authorization for this position

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