Principal Auditor - Global Finance

Principal Auditor

Principal Auditor - Global Finance Capital One is seeking an energetic, self-motivated Principal Auditor who will assist in the development and execution of the audit plans for assurance coverage of Capital One’s Finance business. As a member of the Finance Audit team, the candidate will primarily focus on audits related to accounting, regulatory reporting, market and liquidity risks, counter party credit risks, and other risks in treasury and balance sheet management across both the first and second lines of defense.

Additionally, as part of the broader Audit organization, the candidate will lead or contribute to other audits identified during audit planning processes.

• Lead small audits, or own completion of significant components of larger audits.
• Develop engagement planning documentation for assigned areas, 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 gaps.
• Prepare clear, organized, and complete documentation to support work performed, including draft findings.
• Establish and maintain strong, collaborative relationships with stakeholders and team members throughout each engagement.
• Effectively communicate information and audit progress to team, stakeholders, and auditor-in-charge.
• Prioritize and effectively plan your own work activities, manage 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.

• You are a critical thinker who seeks to understand the business and its control environment.
• 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 possess a relentless focus on quality and timeliness.
• 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 technology will only make you a better auditor. This will require leveraging the power of data analytics and furthering your technical expertise.
• You are a teacher. You do the right thing and lead by example.
• You have a passion for coaching and investing in the betterment of your team.
• You lead through change with candor and optimism.
• You create energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.

• Bachelor’s Degree or military experience.
• At least 4 years of experience in auditing, in accounting, in financial analysis, in compliance, or a combination.

• At least 5 years of experience in auditing, in accounting, in financial analysis, in compliance, or a combination.
• 2+ years of experience in banking or in financial services.
• 1+ years of experience in performing data analysis in support of internal auditing.
• Master’s Degree in Accounting, Master’s Degree in Finance or Master of Business Administration.
• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Chartered Financial Analyst (CFA), Financial Risk Manager (FRM), or relevant…