Audit Director, Financial Crimes Compliance

Audit Director, Financial Crimes Compliance

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.

We're seeking an energetic, self-motivated Audit Director interested in becoming part of our Audit team. As a member of the Financial Crimes Compliance (FCC) Audit team, the candidate will focus on all aspects of financial crimes compliance across the bank. 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. This role will be hired as a Capital One associate with a near-term focus on audit execution and delivery for Discover Financial Services as part of our integration effort.

Responsibilities :

• Lead and / or execute compliance related audits within Capital One, including the supervision of audit staff on related audit engagements.
• Proactively monitor the assigned audit universe for changing risks and needed updates. Lead continuous monitoring activities and updates to risk assessments, audit universe, and audit plan.
• Direct business unit and project audits across assigned portfolios.
• Review engagement planning documentation and audit programs to ensure adequate coverage of risk and sufficient rationale for audit scope.
• Supervise and coordinate work assignments amongst audit team members. Provide timely feedback, on-the-job training and coaching to audit staff and direct reports.
• Establish and maintain good relationships with key business and audit partners. Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus. Effectively represent internal audit at management meetings, internal forums, and to external organizations.
• Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues. Interpret business priorities, anticipate issues and obstacles, and apply to scope of role.
• Deliver appropriate, succinct and organized information, tailoring communication style to audience. Effectively review and compile relevant, material findings and recommendations into readable and concise audit reports. Communicate complex results and implications, incorporating different perspectives into deliverables.
• Manage timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department. Demonstrate the ability to successfully meet deadlines.

Here's What We're Looking For In An Ideal Teammate :

Travel Expectations :

The associate will be expected to travel an average of 10-15% of the time. This role is hybrid. Associates are expected to spend a minimum of 3 days per week in-person at one of our offices listed on this job posting Monday though Thursday. Fridays are enterprise-wide virtual work days.

Basic Qualifications :

Preferred Qualifications :

At this time, Capital One will not sponsor a new applicant for employment authorization for this position. 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 : $181,800 - $207,500 for Audit Director

Chicago, IL : $181,800 - $207,500 for Audit Director

McLean, VA : $200,100 - $228,400 for Audit Director

New York, NY : $218,300 - $249,100 for Audit Director

Plano, TX : $181,800 - $207,500 for Audit Director

Richmond, VA : $181,800 - $207,500 for Audit Director

Riverwoods, IL : $181,800 - $207,500 for Audit Director

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 candidate's 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.

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