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Director, Audit – Financial Crimes Compliance

Capital One


Location:
McLean, VA
Date:
06/28/2017
2017-06-282017-07-27
Job Code:
capitalone2-R28405
Categories:
  • Financial Services
  • Management
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Job Details

Company Capital One

Job Title: Director, Audit – Financial Crimes Compliance

JobID: capitalone2-R28405

Location: McLean, VA, 22106, USA

Description: McLean 1 (19050), United States of America, McLean, Virginia



At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.



Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.



Director, Audit – Financial Crimes Compliance



Corporate Audit Services (CAS), the Internal Audit function within Capital One, is a dedicated group of audit professionals focused on delivering top quality assurance services to the organization’s Audit Committee. The CAS department is considered one of the leading internal audit functions within the financial services industry and is highly regarded within Capital One. CAS professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. In addition, the CAS vision of Innovate Continually, Perform Brilliantly, and Set the Standard create a dynamic and challenging atmosphere for both personal growth and professional opportunity.



As the enterprise, independent testing function for Bank Secrecy Act (BSA) and AML Compliance, the Financial Crimes Compliance (FCC) plays a critical role as one of the four pillars of the Capital One AML Compliance and Economic Sanctions Program. A Director on the FCC Audit team will be responsible for designing and executing a risk-based testing strategy to ensure the quality of AML, Sanctions and Fraud risk management is effective across all lines of business within Capital One. The Director will provide input into the development of the ongoing audit plan and ensure the team maintains a comprehensive understanding of the AML, Sanctions and Fraud risk profile of the audit universe. The Director will also be expected to provide effective leadership, coaching, and training to the team in order to foster development, collaboration, and exceptional teamwork.



**Responsibilities:**



- Manage internal audit staff responsible for BSA / AML , Sanctions and Fraud audit functions as well as other diverse lines of business and specialty areas. Provide major input to audit engagement planning and fieldwork, as well as identification, development and documentation of audit issues, and recommendations for their improvement.



- Provide subject matter expertise in the areas of BSA / AML, sanctions and fraud audits



- Manage the implementation of audit procedures, including, but not limited to identifying and defining issues, reviewing and analyzing evidence, and documenting auditee processes and procedures. Oversee the identification and evaluation of Capital One risk.



- Assist in the planning, organizing, directing and monitoring of internal audit operations and have staff management responsibilities



- Manage the implementation of audit procedures, including (but not limited to) identifying and defining issues, reviewing and analyzing evidence, and documenting auditee processes and procedures, and prepare value added audit reports.



Here's what we're looking for in an ideal teammate:



+ 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 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 technical knowledge will only make you a better Auditor. This will require leveraging the power of data analytics and furthering your technical know how, so you’ll want to ensure that technology doesn’t scare you off.

+ You're a teacher. You have a passion for coaching and investing in the betterment of your team.

+ Lastly, you create energy and an environment that make it easy to attract, hire, and retain top talent.



As one of the “100 Best Companies to Work For,” you can look forward to coming to work every day with a team of people that are committed to excellence and doing the right thing.



**Basic Qualifications:**



- Bachelor’s Degree or military experience



- At least 10 years of experience in auditing, at least 10 years in compliance, at least 10 years in risk management, or a combination



- At least 6 years of experience in supervisory or project management role including experience managing audit engagements



- At least 5 years of experience in Anti-Money Laundering (AML) and Sanctions compliance



**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 Fraud Examiner (CFE), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Regulatory Compliance Manager (CRCM)



- 5+ years of experience in BSA/AML, US PATRIOT Act, and Office of Foreign Assets Control (OFAC) requirements



- 1+ years of experience conducting international audits and interacting with foreign regulators



- 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._



At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.                                               


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