Capital One Senior Auditor Compliance 

United States, New York, New York 

452650283

NYC 299 Park Avenue (22957), United States of America, New York, New York Senior Auditor, Compliance

Responsibilities:

• Perform risk based reviews and assessments of compliance to federal, state, and other legal regulations( and business activities. Perform relevant testing based on the risks and processes associated with the area being audited. Assist in communicating issues, risks and recommendations to all levels of management.

• Operate independently and ensure work is completed according to schedule and meets our high-quality standards.

• Develop and maintain strong and effective working relationships with key business partners and the extended Audit group.

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

• Proactively follow-up on agreed audit actions to ensure management delivers their commitments within the agreed timescales.

• Proactively seek out learning opportunities to enhance skills and competencies related to role.

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, test assumptions, and challenge conventional thinking.

• You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition.

• You’re 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.

• You're 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:

• Bachelor's Degree or military experience

• At least 2 years of experience in auditing one or more of the following areas: banking or financial services industry, risk management, or consumer compliance.

Preferred Qualifications:

• Master’s Degree in Auditing, Master’s Degree in Accounting, Master’s Degree in Information Systems or Master of Business Administration

• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Risk Compliance Manager (CRCM), or relevant certification

• 2+ year of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination

• 2+ years of experience performing data analysis in support of internal auditing

• At least 1 year of experience in corporate compliance

• At least 1 year of experience with data analytics tools in support of internal audit

• At least 1 year of experience with privacy compliance in the financial services industry

New York City (Hybrid On-Site): $99,500 - $113,600 for Senior Staff AuditorThis 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.

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.