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. Capital One is seeking an energetic, self-motivated Principal Auditor to join the Audit team. The candidate will focus on operations of investment (securities and transactions).

• 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.

• 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 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 understand that data, innovation, and technology enhance auditing; you will leverage data analytics and continue to develop technical expertise.
• You are a teacher who leads by example, coaches others, and leads through change with candor and optimism.
• You create an environment of trust, collaboration, and belonging to attract, hire, and retain top talent.

• Basic Qualifications
  :
  Bachelor’s Degree or military experience; at least 3 years of experience in auditing, compliance, risk management, accounting, or a related field.
• Preferred Qualifications
  :
  At least 2 years of experience leading audit engagements as auditor-in-charge; 4+ years in banking/financial services or professional services; 4+ years of experience in one or more areas of compliance (consumer, brokerage, wealth management, or trust); 1+ year of experience with data analytics tools and analysis in internal auditing;
  Master’s Degree (Accounting, Finance, or MBA); and professional certifications (CIA, CPA, CRCM, CAMS).

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

This role is hybrid, meaning associates will spend 3 days per week in-person at one of our offices listed in this posting. Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaboration in team environments.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Salaries for part-time roles will be prorated based on hours worked. Salaries are for candidates hired to work at a listed location. The actual offer will be reflected in the offer letter.

• 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,…