Principal Auditor, Practices - Quality Assurance

Principal Auditor, Practices - Quality Assurance

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.

Audit is seeking an energetic, self-motivated Principal Auditor, with Technology Audit experience, to join the Audit Practices team. The Audit Practices team oversees quality assurance and improvement programs, audit methodology, training, knowledge and department-wide improvement initiatives for Audit. This position, Quality Assurance Principal Auditor, will be responsible for performing quality assurance reviews focused on the technology audit teams and driving key quality improvement initiatives. All associates are expected to maintain all organizational and professional ethical standards.

Responsibilities include:

• Coordination and execution of key quality assurance reviews, including providing major input to planning and testing, as well as identification, development, and documentation of exceptions related to quality assurance reviews
• Deliver verbal and written communication to the audit teams and audit leadership
• Establish and maintain effective relationships with audit teams and audit leadership
• Establish and maintain good client relations within and outside the department
• Design and execute best-in-class operational processes and improvement initiatives of moderate complexity for the quality assurance and improvement program

Additionally, as part of the broader Audit Practices team, the candidate will:

• Provide training and coaching to audit team members during quality assurance reviews as applicable, and the broader Audit Practices team
• Work independently under general supervision, and can exercise latitude for initiative and independent judgment.

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, test assumptions, and challenge conventional thinking.
• You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit's value proposition.
• You're 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.
• You're 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:

• 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 financial analysis, at least 3 years of experience in compliance, or a combination.

Preferred Qualifications:

• 2+ years of experience in leading technology 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
• 1+ years of experience in information technology (operations, software delivery, access management, microservices), information security (application security, network security, cyber security, data protection), information systems risk management, information systems auditing, or a combination
• Master's Degree in Accounting, Master's Degree in Finance or Master of Business Administration
• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Information Systems Auditor (CISA), or relevant certification

This role is hybrid meaning associates typically spend about half 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.

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.

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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).