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Audit Director, Financial Crimes Compliance
3 months ago
NYC 299 Park Avenue (22957), United States of America, New York, New York
Audit Director, Financial Crimes Compliance (Hybrid)
Capital One’s Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organization’s Audit Committee. Audit professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. Audit’s 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.
**Responsibilities**:
- Lead and/or execute compliance related audits within Capital One, including the supervision of audit staff on related audit engagements.
- Proactively monitor the 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 portfolios.
- 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 training and coaching to audit staff and direct reports.
- 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.
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 10 years of experience in auditing, at least 10 years of experience in compliance or at least 10 years of experience in risk management
- At least 5 years of experience in Anti-Money Laundering (AML), Sanctions and Fraud compliance
- 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 experience managing audit engagements
Preferred Qualifications:
- Master’s Degree in Accounting, Finance, Economics, or Business Administration
- Professional Certification such as Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Regulatory Compliance Manager (CRCM)
- Experience with consumer compliance, privacy and conduct risk management
- 15+ 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
- 10+ years of experience in Bank Secrecy Act (BSA), Anti-Money Laundering (AML), US PATRIOT Act, and Office of Foreign Assets Control (OFAC) requirements
- 1+ years of experience conducting international audits and interacting with foreign regulators
- 3+ 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.**
**This role is** **hybrid**_ _**meaning associates typic
