Principal Auditor; Experienced Senior Auditor), Financial Crimes Compliance

Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance

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 Principal Auditor interested in becoming part of our Financial Crimes Compliance (FCC) Audit team. As a member of the FCC Audit team, you will focus on engagements involving BSA/AML, Sanctions and Fraud Compliance related audit projects that provide input to the annual audit plan. The Principal Auditor will be responsible for maintaining all organizational and professional ethical standards.

• Participate in major components of business units and lead small to medium size BSA/AML, Sanctions and Fraud Compliance audits. Perform risk assessments and relevant testing based on the risks and processes associated with the area being audited. Assist in communicating issues, risks and recommendations to all levels of management.
• Operate independently and ensure work is completed on schedule and meets our high‑quality standards.
• Develop and maintain strong and effective working relationships with key business partners and the extended Audit group.
• Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery.
• Proactively follow up on agreed audit actions to ensure management delivers their commitments within the agreed timescales.
• Proactively seek out learning opportunities to enhance skills and competencies related to the role.

• 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 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 make you a better auditor. This requires leveraging data analytics and furthering technical expertise.
• You are a teacher, lead by example, coach and invest in the betterment of your team, and foster trust, collaboration and belonging.

• Bachelor’s Degree or military experience.
• At least 3 years of experience in auditing, Anti‑Money Laundering, Fraud or Sanctions, or a combination.

• Certified Fraud Examiner (CFE), Certified Anti‑Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA) or relevant certification.
• 4+ years of experience in banking, the financial services industry, or a professional services firm serving large banks, or a combination.
• 1+ year of experience performing data analysis to support internal auditing.

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 on this job posting. Fridays are enterprise‑wide virtual work days. Monday, Tuesday, Wednesday and Thursday are in‑person days for associates to spend time together working in our beautifully‑designed team areas.

• 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
• Ri…