Sr. Director, Audit – Mortgage, Home Equity, and Auto Finance

  • Company: Capital One
  • Posted: August 25, 2016
  • Reference ID: R9616
Locations: TX - Plano, United States of America, Plano, Texas

Sr. Director, Audit – Mortgage, Home Equity, and Auto Finance

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 looking for a Senior Director of Audit for Mortgage, Home Equity, and Auto Finance Operations.  In this role you will perform and manage advanced level professional internal audit work This will include managing and conducting integrated operational, financial and compliance audit projects; providing major input to the development of the annual audit plan. You will supervise the internal audit staff and provide training, and coaching. You will maintain all organizational and professional ethical standards, work independently under general supervision and exercise some latitude for initiative and independent judgment. 


  • Manage internal audit staff responsible for auditing mortgage, home equity and auto finance operations as well as other diverse lines of business and specialty areas. Provide major input to audit engagement planning and fieldwork, as well as identification, development and documentation of audit issues, including recommendations for their improvement.
  • Manage the execution of integrated audits, including, but not limited to identifying and evaluating risks, controls and issues.  Review and analyze evidence, and document auditee processes and procedures.
  • Assist the executive team in the planning, organizing, directing and monitoring of internal audit operations and have staff management responsibilities including hiring, training, and evaluating staff, and taking corrective action.
  • Cultivate and maintain business relationships with senior executive auditees, as well as leadership in other control functions within Capital One.
  • May directly manage a team of up to 8 people, and an integrated team of 15+

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. 

  • Bachelor’s Degree or military experience. 
  • At least 10 years of experience in auditing, at least 10 years of experience in risk management, or a combination
  • At least 8 years of experience in mortgage and home equity business
  • At least 8 years of experience in banking or the financial services industry
  • At least 8 years of experience in leading audit engagements or in project management

  • Master’s Degree in Auditing, 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 Risk Compliance Manager (CRCM), or Certified Information Systems Auditor (CISA)
  • 15+ years of experience in auditing, risk management, accounting, financial analysis, information systems, compliance or a combination
  • 10+ years of experience in loan origination, servicing, default management, secondary marketing, credit risk & policy, operations, and capital markets activity. 
  • 3+ years of experience in consumer automobile lending business (direct and indirect origination business models, servicing, collections, and recovery operations)
  • 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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