Sr Audit Manager, Financial Services
Plano , Texas
February 08, 2017
Locations: TX - Plano, United States of America, Plano, Texas

Sr Audit Manager, Financial Services

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.

An Audit Senior Manager on the Financial Services Audit team will be responsible for the coordination and execution of audits related to home mortgage loans, home equity loans and auto finance operations as well as other diverse lines of business and specialty areas. Each audit assignment encourages the candidate to apply business, technical and industry knowledge to assess business risk, identify and design risk based tests of key controls, and lead the engagement team in performance of the audit.  The candidate will also provide training and coaching to team members on assignments, and the broader Audit team. The candidate should be able to work independently, with minimal guidance from Audit management, while exercising judgment in risk based assessments. 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.

Additionally, the individual will play a key role in team and departmental operations and initiatives, which may include but not be limited to: 

  • Assisting in development of the Annual Audit Plan and Dynamic Planning exercises
  • Preparing communications and updates for auditees, such as initial audit plan presentation and periodic updates
  • Preparing quarterly updates for regulators on audit status and responding to regulator requests for information.
  • Conducting follow up audit work on regulatory Matters Requiring Attention and audit issues
  • Conducting issue trending

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 knowhow, 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.

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:

- Bachelors Degree or military experience

- At least 6 years of experience in auditing, at least 6 years of experience in accounting, at least 6 years of experience in financial analysis, at least 6 years of experience in compliance or a combination

- At least 3 years of experience leading audits and performing in the role of auditor-in-charge

-At least 3 years of people management experience

Preferred Qualifications:

- Master’s Degree in Accounting, Master’s Degree in Finance, Master’s Degree in Economics, or Master of Business Administration

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

- 4+ years of experience in a bank or 4+ years of experience in a financial services firm

- 3+ years of experience in the mortgage lending business, 3+ years of experience in consumer automobile finance business or a combination

- 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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