Audit Manager, Compliance Expert

1 week ago

New York, New York, United States Capital One Services, LLC Full time
Audit Manager, Compliance

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.

We are seeking an energetic, self-motivated Audit Manager interested in becoming part of our Audit team.

Responsibilities:
  • Plan, perform, and lead large/complex audits at the enterprise level as well as other diverse lines of business and specialty areas.
  • Help to implement the team's strategic imperatives/priorities.
  • Establish and build working relationships with internal and external management.
  • Provide significant input into the development of the annual audit plan.
  • Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes.
  • Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
  • Communicate the results of audit projects to management (written reports/oral presentations).
  • Manage staff during audit engagements and provide feedback on work performed.
Requirements:
  • Bachelor's Degree or military experience.
  • At least 5 years of experience in audit, compliance or risk management in banking, financial services, or consulting industries.
  • At least 2 years of experience in leading audit engagements or in project management.
Preferred Qualifications:
  • Master's Degree in Accounting, Master's Degree in Finance, Master's Degree in Economics, or Master of Business Administration.
  • Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Risk Compliance Manager (CRCM) or a relevant certification.
  • At least 5 years of experience in auditing one of the following areas: consumer compliance, banking or financial services industry, risk management.
  • 6+ years of experience in banking or the financial services industry.
  • 1+ years of experience with data analytics tools in support of internal audit.
  • 1+ years of experience with privacy compliance in the financial services industry.

This role is hybrid meaning associates typically spend about half their time (2-3 days per week) in-person at one of our offices listed on this job posting.

Monday and Fridays are enterprise-wide virtual work days. Tuesday, Wednesday and Thursday are in-person days for associates to spend time together working in our beautifully-designed team areas.

The minimum and maximum full-time annual salaries for this role are listed below, by location.

Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting.

Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

New York City (Hybrid On-Site): $147,800 - $168,700 for Audit Manager.

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.

This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives (LTI).

Incentives could be discretionary or non-discretionary depending on the plan.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.

Learn more at the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. 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 sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law.

Capital One promotes a drug-free workplace.

Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections ; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at or via email at.

All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities.

Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp.

(COPSSC).

Capital One is an equal opportunity employer committed to diversity in the workplace.

Capital One promotes a drug-free workplace.

All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.

Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections ; Newark, New Jersey Ordinance ; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

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