1+ months

Audit Director - Compliance Risk

Capital One
McLean 2 (19052), United States of America, McLean, Virginia

At Capital One, were 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.

Audit Director - Compliance Risk

Capital Ones Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organizations Audit Committee. Audit professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. Audits 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 Director interested in becoming part of our Audit team. As a member of the Compliance Audit team, the candidate will focus on all aspects of compliance across the bank to include consumer compliance audits.


  • Lead and/or execute compliance related audits within Capital One, including the supervision of audit staff on related audit engagements.
  • Proactively monitor 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 portfolio.
  • 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 trainingand 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.

Heres what were 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 Ones 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 Audits value proposition.
  • Youre 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.
  • Youre 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:

  • Bachelors degree or military experience
  • At least 10 years of experience in auditing, at least 10 years of experience in compliance or at least 10 years of experience in risk management or a combination
  • At least 5 years of experience in banking or financial services
  • At least 3 years of experience in people management
  • At least 3 years of project management experience or at least 3 years of experience managing audit engagements

Preferred Qualifications:

  • Masters Degree in Accounting, Finance, Economics, or Business Administration
  • Professional certification such as Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Chartered Financial Analyst (CFA), Certified Risk Manager (CRM), or Certified Regulatory Compliance Manager (CRCM)
  • Experience with consumer compliance, privacy and conduct risk management
  • 12+ years of experience in internal auditing, regulatory compliance, first or second line risk management, or a combination
  • 7+ years of experience in banking or financial services
  • 7+ years of experience in leadership or supervisory roles
  • 1+ years of experience performing data analysis in support of internal auditing

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

Posted: 2020-03-27 Expires: 2020-06-27

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Audit Director - Compliance Risk

Capital One

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