Capital One Principal Auditor (Financial Crimes Compliance) in Richmond, Virginia
West Creek 7 (12077), United States of America, Richmond, Virginia
Principal Auditor (Financial Crimes Compliance)
n Audit, we are looking for Risk Identifiers who identify, analyze, and adapt to changing risks, Challengers who offer independent judgment and workable solutions, Learners who exhibit curiosity and aptness to learn new things, and Leaders who include, empower, and inspire others.
As a Principal Auditor, you will:
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.
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 execute appropriate audit procedures to verify the effectiveness of internal controls. Document auditee processes and procedures, review and analyze 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 information and audit progress to team, clients and auditor-in-charge.
Proactively seek out learning opportunities to enhance skills and competencies related to role.
Provide coaching, on-the-job training, and feedback to audit staff, including junior associates and recent hires.
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.
Bachelor's Degree or military experience
At least 3 years of experience in auditing; At least 3 years of experience in accounting; At least 3 years of experience in risk management or a combination.
At least 2 years of experience in leading audits and performing in the role of auditor-in-charge
2+ years of experience in banking or in financial services
1+ years of experience in performing data analysis in support of internal auditing
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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.
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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).