Capital One Senior Associate - Compliance Audit in Plano, Texas
Plano Town Center (31064), United States of America, Plano, Texas
At Capital One, we’re 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.
Senior Associate - Compliance Audit
Corporate Audit Services (CAS), the Internal Audit function within Capital One, is a dedicated group of audit professionals focused on delivering top quality assurance services to the organization’s Audit and Risk Committee. The CAS department is considered one of the leading internal audit functions within the financial services industry and is highly regarded within Capital One. CAS professionals are experienced, well-trained and credentialed, and operate within a highly collaborative team environment to deliver value added opinions and recommendations. In addition, the CAS vision of Innovate Continually , Perform Brilliantly , and Set the Standard create a dynamic and challenging atmosphere for both personal growth and professional opportunity.
CAS is seeking an energetic, self-motivated Senior Auditor to join the Compliance Audit team. The Senior Auditor will perform professional internal auditing work that involves conducting operational, financial and compliance audit projects and providing input to the annual audit plan. Career development and growth opportunities exist through our established training programs within the Corporate Audit Services team. The candidate will be expected to maintain all organizational and professional ethical standards.
HERE'S WHAT WE'RE LOOKING FOR IN AN IDEAL TEAMMATE:
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 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 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 you’ll want to ensure that technology doesn’t scare you off.
You're a teacher. You have a passion for coaching and investing in the betterment of your team.
Lastly, you create energy and an environment that make it easy to attract, hire, and retain top talent.
Oversee major components of business units and lead small to medium size audits
Perform risk assessments of business activities, potential exposures and the materiality of loss.
Design and perform appropriate audit procedures to verify the effectiveness.
Design and execute internal control testing for operations of moderate complexity
Perform and often plan audit tasks of moderate difficulty, demonstrating a degree of audit expertise consistent with experience level.
Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery
Establish and maintain good client relations during engagements.
Begin communicating the results of some audit projects to management via written reports and oral presentations.
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.
Bachelor’s Degree or military experience
At least 1 years of experience in auditing, at least 1 years of experience in consumer compliance, at least 1 years of experience in regulatory examinations, or a combination
Master’s Degree in accounting, business administration, finance or economics
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Regulatory Compliance Manager (CRCM), or Certified Anti-Money Laundering Specialist (CAMS)
1+ year experience in banking or 1+ year experience in financial services industry
1+ years of experience with data analytics tools in support of internal audit
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.