Senior Financial Crimes Compliance Auditor

1 week ago


Bloomington, Illinois, United States Capital One Full time
About the Role

Capital One is seeking a highly skilled and experienced Senior Financial Crimes Compliance Auditor to join our Financial Crimes Compliance (FCC) Audit team. As a member of this team, you will be responsible for leading and participating in audits related to Bank Secrecy Act/Anti-Money Laundering (BSA/AML), Sanctions, and Fraud Compliance.

Key Responsibilities
  • Lead Audits: Participate in major components of business units and lead small to medium size BSA/AML, Sanctions, and Fraud Compliance audits.
  • Risk Assessment: Perform risk assessments of business activities and perform relevant testing based on the risks and processes associated with the area being audited.
  • Communication: Assist in communicating issues, risks, and recommendations to all levels of management.
  • Operational Excellence: Operate independently and ensure work is completed to schedule and meets our high-quality standards.
  • Relationship Building: Develop and maintain strong and effective working relationships with key business partners and the extended Audit group.
  • Data Analysis: Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery.
  • Follow-up: Proactively follow-up on agreed audit actions to ensure management delivers their commitments within the agreed timescales.
  • Professional Development: Proactively seek out learning opportunities to enhance skills and competencies related to the role.
Requirements
  • Education: Bachelor's Degree or military experience.
  • Experience: At least 3 years of experience in auditing, Anti-Money Laundering, Fraud, or Sanctions, or a combination.
  • Certifications: Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), or Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification.
  • Preferred Qualifications: 4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination. 1+ years of experience performing data analysis in support of internal auditing.
About Capital One

Capital One is a leading financial services company that provides a wide range of financial products and services to individuals, small businesses, and commercial clients. Our company is committed to delivering exceptional customer service, innovation, and value to our customers and stakeholders.



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