Audit Director, Financial Crimes Compliance Expert

7 hours ago

New York, New York, United States Capital One Full time
Job Title: Audit Director, Financial Crimes Compliance

Capital One is seeking a highly skilled and experienced Audit Director to join our Financial Crimes Compliance team. As a key member of our audit team, you will be responsible for designing and executing a risk-based testing strategy to ensure the quality of AML, Sanctions and Fraud risk management is effective across all lines of business within Capital One.

Key Responsibilities:
  • Lead and/or execute compliance-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.
  • Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues.
  • Deliver appropriate, succinct and organized information, tailoring communication style to audience. Effectively review and compile relevant, material findings and recommendations into readable and concise audit reports.
  • Manage timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department.
Requirements:
  • Bachelor's degree or military experience.
  • At least 10 years of experience in auditing, at least 10 years of experience in compliance or at least 10 years of experience in risk management.
  • At least 5 years of experience in Anti-Money Laundering (AML), Sanctions and Fraud compliance.
  • At least 5 years of experience in banking or financial services.
  • At least 3 years of experience in people management.
  • At least 3 years of experience managing audit engagements.
Preferred Qualifications:
  • Master's Degree in Accounting, Finance, Economics, or Business Administration.
  • Professional Certification such as Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Regulatory Compliance Manager (CRCM).
  • Experience with consumer compliance, privacy and conduct risk management.
  • 15+ years of experience in internal auditing, regulatory compliance, first or second line risk management, or a combination.
  • 7+ years of experience in banking or financial services.
  • 7+ years of experience in leadership or supervisory roles.
  • 10+ years of experience in Bank Secrecy Act (BSA), Anti-Money Laundering (AML), US PATRIOT Act, and Office of Foreign Assets Control (OFAC) requirements.
  • 1+ years of experience conducting international audits and interacting with foreign regulators.
  • 3+ years of experience with data analytics tools in support of internal audit.
What We Offer:

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.

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.

New York City (Hybrid On-Site): $202,400 - $231,000 for Audit Director

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.

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