DART Audit Manager, FCC/ Compliance Audit (Hybrid) - Capital One
McLean, VA 22106
About the Job
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 areasPerform BSA/AML, and Fraud risk assessments of business activities, potential risks exposures, and materiality of lossDevelop 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 processesEffectively 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 deliveryLeverage 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 experience5+ years of experience in auditing, financial crimes compliance, corporate or consumer compliance, risk management, or a combination2+ years of experience leading audits and performing in the role of auditor-in-chargePreferred Qualifications:Master’s Degree in Auditing, Master's Degree in Accounting, Master's Degree in Finance, or Master of Business AdministrationCertified 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 combination4+ years of experience in one or more areas of compliance, such as consumer, Anti-Money Laundering (AML), brokerage, wealth management, or trust1+ years of experience with data analytics tools in support of internal auditAt 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 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 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.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
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 One's recruiting process, please send an email to
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).SummaryLocation: Plano, TX; Richmond, VA; McLean, VAType: Full time
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 areasPerform BSA/AML, and Fraud risk assessments of business activities, potential risks exposures, and materiality of lossDevelop 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 processesEffectively 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 deliveryLeverage 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 experience5+ years of experience in auditing, financial crimes compliance, corporate or consumer compliance, risk management, or a combination2+ years of experience leading audits and performing in the role of auditor-in-chargePreferred Qualifications:Master’s Degree in Auditing, Master's Degree in Accounting, Master's Degree in Finance, or Master of Business AdministrationCertified 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 combination4+ years of experience in one or more areas of compliance, such as consumer, Anti-Money Laundering (AML), brokerage, wealth management, or trust1+ years of experience with data analytics tools in support of internal auditAt 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 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 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.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
1-800-304-9102
or via email at RecruitingAccommodation@capitalone.com
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 One's recruiting process, please send an email to
Careers@capitalone.comCapital
One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.Capital One Financial is made up of several different entitiesPlease 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).SummaryLocation: Plano, TX; Richmond, VA; McLean, VAType: Full time
Source : Capital One