Principal Auditor; Experienced Senior Auditor Corporate Compliance Audits; Hybrid

Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid)

Capital One’s Audit function is a dedicated group of professionals focused on delivering top‑quality assurance services to the organization’s Audit Committee. Audit professionals are experienced, well‑trained, and credentialed, and operate within a collaborative, agile environment to deliver value‑added opinions and recommendations. Audit’s vision is to provide high value, independent, proactive insights, to innovate with technology, and to be a top‑notch talent destination.

Capital One is seeking an energetic, self‑motivated Principal Auditor to focus on operations of investment (securities and transactions). The role is hybrid: associates spend three days per week in‑person at one of our offices and Fridays are enterprise‑wide virtual work days.

• Lead small audits, or own completion of significant components of larger audits.
• Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions and develop audit programs to ensure adequate coverage of risks.
• Design and execute appropriate audit procedures to verify the effectiveness of internal controls. Document auditee processes and procedures, review and analyze evidence, and identify potential issues.
• Prepare clear, organized, and complete documentation to support work performed, including draft findings.
• Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor‑in‑charge.
• Self‑prioritize and effectively plan your own work activities, managing multiple priorities and tasks across the team to deliver quality results. Proactively take on additional work to support the team when possible.
• Provide coaching, on‑the‑job training, and feedback to audit staff, including junior associates and recent hires.

• Critical thinker who seeks to understand the business and its control environment.
• Strong focus on quality and timeliness.
• Adaptability, intellectual curiosity, and willingness to challenge conventional thinking.
• Ability to develop influential relationships based on shared risk objectives and trust.
• Passion for coaching and investing in team development.
• Understanding of data analytics and technology to enhance audit work.

• Bachelor’s Degree or equivalent military experience.
• At least 3 years of experience in auditing, compliance, risk management, accounting, or a related field.

• At least 2 years of experience leading audit engagements and serving as auditor‑in‑charge.
• 4+ years of experience in banking, financial services, or a professional services firm serving large banks.
• Experience in one or more compliance areas such as consumer, brokerage, wealth management, or trust.
• 1+ year of experience with data analytics tools and performing data analysis in support of internal auditing.
• Master’s Degree in Accounting, Finance, or MBA.
• Professional certifications: CIA, CPA, CRCM, or CAMS.

Pay ranges vary by location. For example, Principal Audit Salaries:

• Charlotte, NC: $106,700 – $121,700
• Chicago, IL: $106,700 – $121,700
• McLean, VA: $117,300 – $133,900
• New York, NY: $128,000 – $146,100
• Plano, TX: $106,700 – $121,700
• Richmond, VA: $106,700 – $121,700
• Riverwoods, IL: $106,700 – $121,700

This role is eligible to earn performance‑based incentive compensation, including cash bonus(es) and/or long‑term incentives (LTI).

Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits that support your total well‑being. Eligibility varies based on full‑time or part‑time status, exempt or non‑exempt status, and management level.

Capital One does not sponsor employment authorization for this position. No agencies please. The position will remain open for a minimum of 5 business days.

Mid‑Senior level | Full‑time | Accounting/Auditing and Finance

Capital One is an equal‑opportunity employer (EOE, including disability/vet) committed to…