Audit Director, FCC

2 months ago

Plano, Texas, United States Capital One Full time
Job Summary

Capital One is seeking a seasoned Audit Director to join our Compliance Audit team. As a key member of our team, you will be responsible for leading the strategic approach for all aspects of compliance and/or financial crimes compliance across the bank.

Key Responsibilities

  • Develop and lead the strategic approach for all aspects of compliance and/or financial crimes compliance across the bank.

  • Design and execute a risk-based testing strategy to ensure the quality of Consumer and Commercial Compliance risks, AML, Sanctions, and Fraud risk management is effective across all lines of business within Capital One.

  • Provide input into the development of the ongoing audit plan and ensure the team maintains a comprehensive understanding of the AML, Sanctions, Fraud, and broader Compliance risk profile of the audit universe.

  • Lead and/or execute operational 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.

  • Establish and maintain good relationships with key business and audit partners. Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus. Effectively represent internal audit at management meetings, internal forums, and to external organizations.

  • Provide subject matter expertise to audit partners and ensure comprehensive audit coverage of owned risk domains.

  • Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues. Interpret business priorities, anticipate issues and obstacles, and

Requirements

Capital One is an equal opportunity employer committed to diversity and inclusion. We welcome applications from qualified candidates who share our values and are passionate about delivering exceptional results.

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