DART Audit Manager, FCC/Compliance Audit

7 days ago

Plano, Texas, United States Capital One Full time
About the Role

We are seeking an experienced Audit Manager to join our Dynamic Audit Resourcing Team (DART) at Capital One. As a member of DART, you will focus on audits of Financial Crime Compliance and Corporate Compliance, conducting operational, financial, and compliance audit projects and providing input to the annual audit plan.

Key Responsibilities
  • Plan, perform, and lead Financial Crime Compliance (FCC) and Corporate Compliance audits at the enterprise level and other diverse lines of business and specialty areas.
  • Perform BSA/AML and Fraud risk assessments of business activities, potential risks exposures, and materiality of loss.
  • Develop and maintain effective working relationships with key business partners.
  • Develop audit engagement planning documentation and develop the audit program to ensure adequate coverage of risk.
  • Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes.
  • Effectively communicate audit process scope, protocol, issues, risks, and recommendations in written reports and oral presentations to clients during kick-off, periodic status updates, and exit meetings.
  • Assess the relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues.
  • Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
  • Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus.
  • Manage timely and quality delivery of audit work. Demonstrate the ability to successfully meet deadlines, as well as flexibility in responding to changes in assignment and job responsibility.
  • Supervise and coordinate work assignments amongst audit team members. Provide timely feedback and coaching to audit staff.
Requirements
  • Bachelor's Degree or military experience.
  • 5+ years of experience in auditing, financial crimes compliance, corporate or consumer compliance, risk management, or a combination.
  • 2+ years of experience leading audits and performing in the role of auditor-in-charge.
  • Preferred Qualifications: Master's Degree in Auditing, Master's Degree in Accounting, Master's Degree in Finance, or Master of Business Administration.
  • Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE).
  • 6+ years of experience in auditing, financial crimes compliance, corporate or consumer compliance, risk management, or a combination.
  • 4+ years of experience in one or more areas of compliance, such as consumer, Anti-Money Laundering (AML), brokerage, wealth management, or trust.
  • 1+ years of experience with data analytics tools in support of internal audit.
About Capital One

Capital One is 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.

Work Environment

This role is hybrid, meaning associates typically spend about half of 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.

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