2 days old
2017-12-142018-01-13

Principal Auditor - Financial Crimes Compliance

Richmond, VA
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  • Job Code
    capitalone2-R36909
Company Capital One

Job Title: Principal Auditor - Financial Crimes Compliance

JobID: capitalone2-R36909

Location: Richmond, VA, 23261, USA

Description: Melville 1 (22567), United States of America, Melville, New York



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.



Principal Auditor - 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 and Risk 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 highly collaborative team 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.



CAS is seeking an energetic, self-motivated Principal Auditor to join the Financial Crimes Compliance Audit team. The Principal Auditor will perform professional internal auditing work that involves conducting operational, financial and compliance audit projects and providing input to the annual audit plan. The Principal Auditor will be responsible for maintaining all organizational and professional ethical standards.



**Responsibilities:**



+ Participate in major components of business units and lead small to medium size BSA / AML, Sanctions and Fraud Compliance audits. Perform risk assessments of business activities, potential exposures and the materiality of loss. Design and perform appropriate audit procedures to verify the effectiveness.

+ Design and execute internal control testing for operations of moderate complexity. Plan and perform audit tasks of moderate difficulty, demonstrating a degree of audit expertise consistent with experience level.

+ Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.

+ Establish and maintain good client relations during engagements.

+ Communicate results of audit projects to audit management and stakeholders.



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



+ You believe insight and initiative are core elements to leading the department’s risk assessment and audit planning processes.

+ You are intellectually curious and proactively monitor industry practices, develop and embrace bold ideas, and effectively implement change. 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 impact and elevate Practice’s value proposition.

+ You’re a firm believer that a rich understanding of data, innovation, and technical knowledge will only make you a better professional. You enjoy leveraging the power of data analytics, ensuring results shared with senior leadership are timely, accurate, and key messages are effectively communicated.

+ You're a teacher. You will develop and deliver risk assessment and audit planning training to the department. You also 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 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, at least 3 years of experience in Anti-Money Laundering, Fraud and Sanctions or a combination



**Preferred Qualifications:**



+ Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), Certified Regulatory Compliance Manager (CRCM)

+ 1+ year experience in banking or financial services industry

+ 1+ year of experience in BSA, US PATRIOT Act, Fraud and Office of Foreign Assets Control (OFAC) requirements

+ 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



Categories

  • Financial Services
  • Management

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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Principal Auditor - Financial Crimes Compliance

Capital One
Richmond, VA

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Capital One
Richmond, VA

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