Senior Audit Manager, Audit Operations and Reporting (Hybrid)

West Creek 2 (12072), United States of America, Richmond, Virginia

Senior Audit Manager, Audit Operations and Reporting (Hybrid)

Capital One’s Audit function is a dedicated group of audit professionals focused on delivering top-quality assurance services to the organization’s Audit and Risk Committees. The Audit department is considered one of the leading internal audit functions within the financial services industry and is highly regarded within Capital One. Audit professionals are experienced, well-trained and credentialed, and operate within a highly collaborative team environment to deliver value added opinions and recommendations. In addition, the Audit vision of providing high value, independent proactive insights and innovating with technology create a dynamic and challenging atmosphere for both personal growth and professional opportunity.

 

Audit is seeking an energetic, self-motivated Senior Manager to join the Audit Operations and Reporting team. The Audit Operations and Reporting team is responsible for facilitating and governing horizontal Audit administration processes, maintaining well-managed data and developing and managing operational reporting for the department. As a member of the Audit Operations and Reporting  team, the candidate will assist in ensuring a well-managed approach to Risk Assessment, Emerging Risk, Continuous Monitoring activities, and Issues Trending, with a focus on the vision of always-on risk assessment to power proactive assurance.

Responsibilities:

• Provide day-to-day operational management of the Standard Risk Assessment process, methodology, governance and tooling. 

• Serve as the operational contact for department and regulatory inquiries, consultations and questions  around the Risk Assessment process, methodology and tooling.

• Facilitate department wide Risk Assessment refresh activities (quarterly dynamic changes and holistic annual updates) and associated training.

• Assist with implementation of the innovation agenda through partnering with product, tech engineers and design professionals to maintain the Risk Assessment Application and develop enhanced technologies and functionality to advance risk assessment and drive continued simplicity, automation and efficiency. 

• Oversee the continuous monitoring process, methodology, governance and tooling helping to reinforce the evaluation of impact within risk assessments and the dynamic plan. 

• Manage emerging risk, including assistance with proactively sourcing/identifying risks, collaboration with owning audit teams, oversight/completion of research/testing, and reporting of results to management and/or Audit executive leadership, as needed.

• Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of broader issues. Interpret business priorities, anticipate issues and obstacles, and apply to scope of role. Leverage knowledge and skills, providing the broader department with insight into areas of risk.

• Establish and maintain strong relationships with key Audit and/or business partners. 

• Facilitate issues trending analysis over Audit identified issues to identify thematic and/or emerging trends, aggregate results, prepare presentation materials and elevate key trends in management and audit committee reporting.

• Assist in the development and implementation  of “always on auditing” testing and assurance approach including establishing the methodology and framework to support our strategic vision for continuous assurance.

• Manage timely and high quality delivery of multiple tasks, including regulatory requests, recurring deliverables, presentations, management reporting,  special assignments and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department. Demonstrate the ability to successfully meet deadlines and identify/escalate impediments in a timely manner.

• Supervise and coordinate work assignments amongst team members. Provide people leadership, coaching, timely feedback, on-the-job training to audit staff and direct reports.

• Leverage systems, data and analytical tools to execute tasks and perform analysis with a focus on data quality and integrity. Assist team in developing visualizations of data for management reporting. 

• Communicate (e.g. verbally and writ