Sr. Manager, Audit – Market Risk, Liquidity Risk, and Balance Sheet Management
Location:
New York , New York
Posted:
February 08, 2017
Reference:
R15662
Locations: NY - New York, United States of America, New York, New York

Sr. Manager, Audit – Market Risk, Liquidity Risk, and Balance Sheet Management

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 a risk professional with strong experience in market risk, liquidity risk and balance sheet management. The Senior Manager, Audit will lead or conduct audits of market risk units, liquidity risk units, and Balance Sheet Management, generally supervising audit staff on audit engagements. This person will design and execute internal controls testing for complex Treasury businesses and related support functions with many integrated components.

Responsibilities:

- Plan, perform and lead audits of complex Balance Sheet Management functions such as Market Risk Management (including Market Risk Rule compliance) and Liquidity Risk Management and related business functions or perform components of such audits. Perform risk assessments of Balance Sheet Management activities, including potential exposures and materiality of loss. Design, perform, and document audit procedures and results.

- Provide significant input into the development of the annual audit plan. Design and execute internal control testing for Balance Sheet Management and related support, risk, and compliance activities.

- Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery

- Establish and maintain good client relations during engagements.

- Create and facilitate working relationships with line management.

- Communicate the results of some audit projects to management via written reports and oral presentations.

- Maintain all organizational and professional ethical standards and exercise some latitude for initiative and independent judgment.

- Provide key input to the development of the annual audit plan.

- Provide training and coaching to internal audit staff.

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.

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 7 years of experience in auditing, at least 7 years of experience in treasury, at least 7 years of experience in market risk, at least 7 years of experience in capital markets, at least 7 years of experience in compliance, or a combination

- At least 3 years of experience in Liquidity Risk Management, at least 3 years of experience in Market Risk Management, at least 3 years of experience in Funds Transfer Pricing, or a combination

- At least 3 years of experience in leading audit engagements or in project management

- At least 3 years of experience in banking or the financial services industry

Preferred Qualifications:

- 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 Investments and Derivatives Auditor (CIDA), Certified Public Accountant (CPA), Certified Risk Compliance Manager (CRCM) or Certified Information Systems Auditor (CISA)

- 9+ years of experience in auditing, 9+ years of experience in treasury, 9+ years of experience in market risk, 9+ years of experience in capital markets, 9+ years of experience in compliance, 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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