Senior Audit Manager, Financial Crimes Compliance & AML; Hybrid

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Join to apply for the Senior Audit Manager, Financial Crimes Compliance & AML (Hybrid) role at Capital One

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 to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creates a dynamic and challenging atmosphere for both personal growth and professional opportunity.

Capital One is seeking an energetic, self-motivated Senior Audit Manager interested in becoming part of our Audit team, with a focus on audits of Financial Crime Compliance and Anti-Money Laundering initiatives. This role will be hired as a Capital One associate with a near-term focus on audit execution and delivery for Discover Financial Services as part of our integration effort.

Responsibilities include:

• Plan, perform, and lead BSA / AML / Financial Crimes Compliance audits at the enterprise level as well as other diverse lines of business and specialty areas;
• Perform AML 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;
• Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery;
• Establish and build working relationships with internal and external management;
• Communicate the results of audit projects to management (written reports/oral presentations); and
• Manage direct reports and project resources during audit engagements, providing feedback on work performed to audit team members, as appropriate.

• You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions and test assumptions.
• You seek to deepen relationships and shared objectives with your business partners to deliver an elevated value proposition and outstanding business results.
• You’re a firm believer that data will only make you a better Auditor. This part will require looking at some data, so you’ll want to ensure that analytics doesn’t scare you off.
• You're a teacher. You have a passion for coaching and investing in the development of your team.
• Lastly, you create energy and an environment that make it easy to attract, hire, and retain top talent.

• Bachelor’s Degree or military experience
• At least 7 years of experience in auditing, at least 7 years in compliance, at least 7 years in risk management, or a combination
• At least 5 years of experience in financial crimes compliance
• At least 5 years of experience leading audits and performing in the role of auditor-in-charge

• Master’s Degree in Auditing, Master's Degree in Accounting, Master's Degree in Finance, or Master of Business Administration
• Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE)
• 10+ years of experience in auditing, 10+ years in compliance, 10+ years in risk management, or a combination
• 10+ years of experience in one or more areas of compliance, such as consumer, Anti-Money Laundering (AML), brokerage, wealth management, or trust.
• 1+ years of experience with data analytics tools in support of internal audit