Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance (Hybrid)
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 Financial Crimes Compliance 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 Principle Auditor will be responsible for maintaining all organizational and professional ethical standards.
Responsibilities :
Participate in major components of business units and lead small to medium size BSA / AML, Sanctions, and Fraud Compliance audits.
Perform risk assessments of business activities and perform 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 to 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 role.
Basic Qualifications :
- Bachelor's Degree or military experience
- At least 3 years of experience in auditing, 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
- 4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination
- 1+ years of experience performing data analysis in support of internal auditing
Please read the information in this job post thoroughly to understand exactly what is expected of potential candidates.
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Remote working / work at home options are available for this role.
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