Senior Audit Manager, Financial Crimes Compliance (Hybrid)

Senior Audit Manager, Financial Crimes 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 Audit Manager interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on audits of Financial Crimes Compliance including audits related to Customer Identification Program (CIP), Know-Your-Customer (KYC), Currency Transaction Reporting (CTR), Transaction Monitoring, Suspicious Activity Reporting (SAR)/Suspicious Transaction Reporting (STR), List Screening, Sanctions, External Fraud and Internal Fraud. 

 

Responsibilities:

• Plan, perform, and lead large/complex Financial Crime Compliance (FCC) audits at the enterprise level as well as other diverse lines of business and specialty areas

• Help to implement the team's strategic imperatives/priorities 

• Establish and build working relationships with internal and external management

• Perform BSA/AML, and Fraud risk assessments of business activities, potential risks exposures, and materiality of loss

• Provide significant input into the development of the annual audit plan

• Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes

• Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery

• Communicate the results of audit projects to management (written reports/oral presentations)

• Manage direct reports and staff during audit engagements and provide feedback on work performed.

 

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

• You adapt to change, embrace bold ideas, and are intellectually curious.  You like to ask questions and test assumptions. 

• You seek to deepen relationships and shared objectives with your business partners to deliver an elevated value proposition and outstanding business results. 

• You’re a firm believer that data will only make you a better Auditor.  This part will require looking at some data, so you’ll want to ensure that analytics doesn’t scare you off.

• You're a teacher. You have a passion for coaching and investing in the development of your team.

• Lastly, you create energy and an environment that makes it easy to attract, hire, and retain top talent.

 

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 7 years of experience in auditing, at least 7 years in compliance, at least 7 years in risk management, or a combination

• At least 5 years of experience in financial crimes compliance

• At least 5 years of experience leading audits and performing in the role of auditor-in-charge

 

Preferred Qualifications:

• Master’s Degree in Auditing, Master's Degree in Accounting, Master's Degree in Finance, or Master of Business Administration

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

• 10+ years of experience in auditing, 10+ years in compliance, 10+ years in risk management, or a combination

• 10+ years of experience in one or more areas of compliance, such as consumer, Anti-Money Laundering (AML), brokerage, wealth management, or trust.

• 1+ years of experience with data analytics tools in support of internal audit

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