DART Audit Manager, FCC/ Compliance Audit (Hybrid)

Plano 3 (31063), United States of America, Plano, TexasDART Audit Manager, FCC / Compliance Audit (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 Dynamic Audit Resourcing Team (DART), an internal staff augmentation team that consists of experienced auditors who are available for rapid deployment on various audit assignments across the department.

As a member of DART, the candidate will focus on audits of Financial Crime Compliance and Corporate Compliance that involves conducting operational, financial, and compliance audit projects and providing input to the annual audit plan.

Responsibilities include :

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

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

Develop and maintain effective working relationships with key business partners.

Develop audit engagement planning documentation, and develop the audit program to ensure adequate coverage of risk.

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

Effectively communicate audit process scope, protocol, issues, risks and recommendations in written reports and oral presentations to clients during kick-off, periodic status updates, and exit meetings.

Assess the relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues.

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

Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus.

Manage timely and quality delivery of audit work. Demonstrate the ability to successfully meet deadlines, as well as flexibility in responding to changes in assignment and job responsibility.

Supervise and coordinate work assignments amongst audit team members. Provide timely feedback and coaching to audit staff.

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, 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 make it easy to attract, hire, and retain top talent.

Basic Qualifications :

Bachelor’s Degree or military experience

5+ years of experience in auditing, financial crimes compliance, corporate or consumer compliance, risk management, or a combination

2+ 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)

6+ years of experience in auditing, financial crimes compliance, corporate or consumer compliance, risk management, or a combination

4+ 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

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

This role is hybrid meaning associates typically spend about half of their time (2-3 days per week) in-person at one of our offices listed on this job posting.

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

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.

Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace.

All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law.

• Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law;
• San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act;

and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.