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Lead Auditor, Financial Crimes Compliance

2 months ago

Richmond, Virginia, United States Capital One National Association Full time

Location: Center, United States of America

Position: Senior Auditor, Financial Crimes Compliance (Hybrid)

Capital One's Audit division is a specialized team of professionals committed to delivering exceptional assurance services to the organization's Audit Committee.

Our audit experts are seasoned, well-trained, and certified, working in a collaborative and agile environment to provide valuable insights and recommendations.

With a vision to offer high-value, independent, and proactive insights, innovate through technology, and attract top talent, our Audit function fosters a dynamic atmosphere for both personal and professional growth.

We are looking for a motivated and enthusiastic Senior Auditor to join our Financial Crimes Compliance (FCC) Audit team.

As a key member of the FCC Audit team, your focus will be on engagements related to BSA/AML, Sanctions, and Fraud Compliance audits that contribute to the annual audit strategy.

Key Responsibilities:

  • Engage in significant components of BSA/AML, Sanctions, and Fraud Compliance audits.
  • Assist in conducting risk assessments of business operations and perform relevant testing based on identified risks and processes.
  • Communicate findings, risks, and recommendations effectively to all management levels.
  • Work independently to ensure timely completion of tasks while maintaining high-quality standards.
  • Build and sustain strong working relationships with key business partners and the broader Audit team.
  • Utilize available data and analytical tools during the planning and execution phases of audit delivery.
  • Proactively follow up on agreed audit actions to ensure timely management responses.
  • Seek out learning opportunities to enhance skills and competencies relevant to the role.

Ideal Candidate Profile:

You are a critical thinker who strives to understand the business and its control environment. You recognize that insight and objectivity are essential for providing assurance on the effectiveness and efficiency of governance, risk management, and internal control processes.

Your relentless focus on quality and timeliness drives your work. You embrace change, welcome innovative ideas, and possess a natural curiosity. You enjoy asking questions, testing assumptions, and challenging conventional wisdom.

You build influential relationships based on shared risk objectives and trust, delivering significant business impact and enhancing the value of the Audit function.

You believe that a deep understanding of data, innovation, and technology will enhance your capabilities as an auditor. This role will require you to leverage data analytics and further develop your technical expertise.

You are a mentor at heart, leading by example and fostering a culture of coaching and team development. You navigate change with transparency and optimism, creating an environment that promotes trust, collaboration, and inclusivity.

Basic Qualifications:

  • Bachelor's Degree or equivalent military experience.
  • At least 1 year of experience in auditing, accounting, financial analysis, compliance, Anti-Money Laundering, Fraud, or Sanctions, or a combination thereof.

Preferred Qualifications:

  • Master's Degree in Auditing, Accounting, Information Systems, or Business Administration.
  • Relevant certifications such as Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), or Certified Public Accountant (CPA).
  • 1+ years of experience in banking, financial services, or a professional services firm serving large banks.
  • 1+ years of experience performing data analysis in support of internal auditing.

This position is hybrid, with associates typically spending about half of their time in-person at designated offices. Monday and Friday are designated virtual workdays, while Tuesday, Wednesday, and Thursday are in-person collaboration days.

Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to any protected status.