Principal Auditor Risk Management

Principal Auditor - Risk Management

Capital Ones Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organizations Audit Committee. Audit professionals are experienced well-trained and credentialed and operate within a collaborative agile environment to deliver value-added opinions and recommendations. Audits 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 Principal Auditor (Experienced Senior Auditor) interested in becoming part of our Audit team. As a member of the Audit team the candidate will focus on audits of Second Line Risk Management (Enterprise Risk Management Operational Risk Management Third Party Risk Management Business Continuity Payment Risk Network Conflict Risk) and the First Line Risk Offices. The role will also provide Subject Matter Expertise and advisory to other audit teams regarding risk management.

Responsibilities:

• Lead small audits or own completion of significant components of larger audits.

• 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 and/or the appropriateness of enterprise frameworks and requirements. Document audit processes and procedures review and analyze evidence and identify potential issues.

• Prepare clear organized and complete documentation to support work performed and conclusions reached. Independently gather facts to support issues and concerns escalate to necessary groups and help draft audit findings.

• Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team clients and auditor-in-charge.

• Self prioritize and effectively plan your own work activities managing multiple priorities and tasks across the team to deliver quality results which may include issue validations regulatory exam support and/or other team initiatives. Proactively take on additional work to support the team when possible.

• Provide coaching on-the-job training and feedback to audit staff including junior associates and recent hires.

Heres what were looking for in an ideal teammate:

• You are a critical thinker who seeks to understand the business and its control environment.

• You are able to navigate ambiguity applying risk management principles to real life situations.

• You believe insight and objectivity are core elements to providing assurance on the effectiveness and efficiency of Capital Ones 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 test assumptions and challenge conventional thinking.

• You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audits value proposition.

• Youre a firm believer that a rich understanding of data innovation and technology will only make you a better auditor. This will require leveraging the power of data analytics and furthering your technical expertise.

• Youre a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism.

• You create energy and an environment that fosters trust collaboration and belonging making it easy to attract hire and retain top talent.

Basic Qualifications:

• Bachelors Degree or military experience

• At least 4 years of experience in auditing in accounting in financial analysis in compliance or a combination.

• At least 1 year of Enterprise Risk Management experience or Operational Risk Management Experience

Preferred Qualifications:

• 1 year of experience in leading audits and performing in the role of auditor-in-charge

• 2 years of experience in banking or in financial services

• 4 years experience in internal audit or risk management (can be combined with Big Four external Audit experience)

• 1 years of experience in performing data analysis in support of internal auditing

• Masters Degree in Accounting Masters Degree in Finance or Master of Business Administration

• 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.

This role is hybrid meaning associates typically spend 3 days per week in-person at one of our offices listed on this job posting.

The minimum and maximum full-time annual salaries for this role are listed below by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Charlotte NC: $109900 - $125400 for Principal Auditor

McLean VA: $120800 - $137900 for Principal Auditor

New York NY: $131800 - $150500 for Principal Auditor

Richmond VA: $109900 - $125400 for Principal Auditor

Candidates hired to work in other locations will be subject to the pay range associated with that location and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidates offer letter.

This role is also eligible to earn performance based incentive compensation which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive competitive and inclusive set of health financial and other benefits that support your total well-being. Learn more at the Capital 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 (EOE including disability/vet) committed to non-discrimination in compliance with applicable federal state and local laws. 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 Citys Fair Chance Act; Philadelphias Fair Criminal Records Screening Act; and other applicable federal state and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position and you require an accommodation please contact Capital One Recruiting at 1- or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital Ones recruiting process please send an email to

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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).

Required Experience:

Staff IC