1+ months

Audit Manager - Retail & Direct Bank

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 Manager - Retail & Direct Bank

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

Audit is seeking an energetic, self-motivated Manager to join and lead its growing Retail and Direct Bank (RDB) Audit team. The Manager will lead (auditor-in-charge) and/or execute professional internal auditing work that involves conducting operational, financial and compliance audit projects and aid in the development of the annual audit plan. The Manager will be responsible for ensuring audit projects maintain compliance with all organizational and professional ethical standards.


  • 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 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 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 youll want to ensure that technology doesnt scare you off.
  • Youre a teacher and a natural leader. You have a passion for coaching and investing in the betterment of your team.
  • Lastly, you create energy and an environment that makes it easy to attract, hire, and retain top talent.


  • Lead and manage RDB audits to ensure all work is completed accurately, timely, and in accordance with professional audit standards.
  • Oversee the maintaining, tracking, and status communication of assigned work to stakeholders.
  • Based on the audit work led and performed, identify and draft strategic, business, and root cause focused issues and effectively communicate results to audit leadership and relevant stakeholders.
  • Lead and/or participate in the development of procedures to perform and document audit work such as walkthroughs and controls testing in accordance with professional audit standards.
  • Lead and/or monitor managements remediation of identified issues and test the effectiveness of the remediation actions performed.
  • Lead in the preparation of draft audit planning documents, audit procedures, and final reports for review by a Director / Sr. Director.
  • Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
  • Travel: Occasional travel is needed (25%) to other Capital One offices in the Northeast region.

Role-Based Competencies:

  • Establish and maintain strong relationships with 1st and 2nd Line of Defense partners during audit projects.
  • Lead and work well in a team-oriented environment as well as individually.
  • Provide audit oversight, guidance, and coaching to Principal, Senior and Associate level audit resources.
  • Lead and work creatively and analytically in a problem-solving environment.
  • Be able to lead and work occasionally in ambiguous and often changing priorities.
  • Be able to lead and perform multiple tasks concurrently with ease and professionalism.
  • Demonstrate excellent verbal and written communication and interpersonal skills.

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:

  • Bachelors Degree or military experience
  • At least 5 years of experience in auditing, at least 5 years of experience in accounting, at least 5 years of experience in financial analysis, at least 5 years of experience in compliance, at least 5 years of experience in retail banking operations, or a combination thereof
  • At least 2 years of experience in leading audits and performing in the role of auditor-in-charge

Preferred Qualifications:

  • Masters Degree in Accounting or Masters Degree in Finance or Masters Degree in Economics, or Master of Business Administration
  • Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) or Certified Regulatory Compliance Manager (CRCM) or Certified Information Systems Auditor (CISA) or Certified Bank Auditor (CBA) or Certified Bank Examiner (CBE)
  • 7+ years of experience in auditing, 7+ years of experience in accounting, 7+ years of experience in financial analysis, 7+ years of experience in compliance or a combination thereof
  • 3+ years of experience in a bank or 3+ years of experience in a financial services firm
  • 1+ years of experience with data analytics tools in support of internal audit activities

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

Posted: 2019-06-26 Expires: 2020-01-04

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Audit Manager - Retail & Direct Bank

Capital One

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