Capital One DART Audit Manager FCC/ Compliance Hybrid 

United States, Texas, Plano 

145976552

Plano 3 (31063), United States of America, Plano, Texas DART Audit Manager, FCC/ Compliance Audit (Hybrid)

Responsibilities include:

• Plan, perform, and lead Financial Crime Compliance (FCC) and Corporate Compliance audits at the enterprise level as well as other diverse lines of business and specialty areas

• Perform BSA/AML, and Fraud risk assessments of business activities, potential risks exposures, and materiality of loss

• Develop and maintain effective working relationships with key business partners.

• Develop audit engagement planning documentation, and develop the audit program to ensure adequate coverage of risk.

• Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes

• Effectively communicate audit process scope, protocol, issues, risks and recommendations in written reports and oral presentations to clients during kick-off, periodic status updates, and exit meetings.

• Assess the relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues.

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

• Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus.

• Manage timely and quality delivery of audit work. Demonstrate the ability to successfully meet deadlines, as well as flexibility in responding to changes in assignment and job responsibility.

• Supervise and coordinate work assignments amongst audit team members. Provide timely feedback and coaching to audit staff.

Here's what we're 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 One’s 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 and test assumptions.

• You seek to deepen relationships and shared objectives with your business partners to deliver an elevated value proposition and outstanding business results.

• You’re a firm believer that data will only make you a better Auditor. This part will require looking at some data, so you’ll want to ensure that analytics doesn’t scare you off.

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

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

Basic Qualifications:

• Bachelor’s Degree or military experience

• 5+ years of experience in auditing, financial crimes compliance, corporate or consumer compliance, risk management, or a combination

• 2+ years of experience leading audits and performing in the role of auditor-in-charge

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

• 6+ years of experience in auditing, financial crimes compliance, corporate or consumer compliance, risk management, or a combination

• 4+ years of experience in one or more areas of compliance, such as consumer, Anti-Money Laundering (AML), brokerage, wealth management, or trust

• 1+ years of experience with data analytics tools in support of internal audit

This role is hybrid meaning associates typically spend about half of their time (2-3 days per week) in-person at one of our offices listed on this job posting. Monday and Fridays are enterprise-wide virtual work days. Tuesday, Wednesday, and Thursday are in-person days for associates to spend time together working in our beautifully- designed team areas.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.