DART Experienced Sr. Auditor, FCC/ Corporate Compliance (Hybrid)

Plano 3 (31063), United States of America, Plano, Texas

DART Experienced Sr. Auditor, FCC/ Corporate Compliance (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 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, and experienced Auditor interested in becoming part of our Dynamic Audit Resourcing Team (DART). As a member of DART, the candidate will focus on engagements involving Corporate Compliance, BSA/AML, Sanctions, and Fraud Compliance related audit projects that provide input to the annual audit plan. The Senior Auditor will be responsible for maintaining all organizational and professional ethical standards. 

 

Responsibilities: 

• Participate in and own completion of significant components of Financial Crime Compliance (FCC) audits and Corporate Compliance 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 perform audit procedures to verify the effectiveness of internal controls, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes

• Document auditee processes and procedures, review, analyze, and effectively challenge 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 results 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.

Here's what we're looking for in an ideal teammate:

• 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, learn quickly and independently, 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're 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.

 

Basic Qualifications:

• Bachelor's Degree or military experience

• At least 2 years of experience in auditing, accounting, financial analysis, compliance, risk management, Anti-Money Laundering, Fraud or Sanctions, or a combination.

 

Preferred Qualifications:

• Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), or Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification

• 3+ yea