Principal Auditor (Experienced Senior Auditor) Risk Management (Hybrid)

Capital One; Charlotte (NC); Hybrid; USD 106,000 - 122,000; Full time

Job summary

Join a forward-thinking company as a Principal Auditor, where you'll lead audits and provide insights on risk management. In this hybrid role, you'll collaborate with a dynamic team to enhance Capital One's governance and internal controls. Your expertise in auditing and data analysis will be essential in navigating complex challenges and delivering quality results. This is an exciting opportunity to grow professionally while making a significant impact in a supportive environment that values innovation and teamwork. If you're passionate about auditing and committed to excellence, this role is perfect for you.

Benefits

Comprehensive Health Benefits

Performance-Based Incentives

Inclusive Workplace

Career Development Opportunities

Qualifications

• 3+ years of auditing experience required, preferably in financial services.
• Experience in leading audits and performing data analysis is preferred.

Responsibilities

• Lead audits and develop engagement planning documentation.
• Design and execute audit procedures to verify internal controls.

Skills

Critical Thinking

Risk Management Principles

Data Analysis

Communication

Coaching and Training

Education

Bachelor's Degree

Master’s Degree in Accounting, Finance, or MBA

Tools

Data Analytics Tools

Job description

Principal Auditor (Experienced Senior Auditor) Risk Management (Hybrid)

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.

Capital One is seeking an energetic, self-motivated Principal Auditor (Experienced Senior Auditor) interested in becoming part of our Dynamic Audit Resourcing Team (DART), an internal staff augmentation team that consists of experienced auditors who are available for rapid deployment on various audit assignments across the department. As a member of DART, the candidate will focus on audits of Second Line Risk Management (Enterprise Risk Management, Operational Risk Management, Third Party Risk Management, Business Continuity) and the First Line Risk Offices.

Responsibilities:

• Lead small audits, or own completion of significant components of larger audits.
• Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions, and develop audit programs to ensure adequate coverage of risks.
• Design and execute appropriate audit procedures to verify the effectiveness of internal controls. Document audit processes and procedures, review and analyze evidence, and identify potential issues.
• Prepare clear, organized, and complete documentation to support work performed and conclusions reached, and draft any findings.
• Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor-in-charge.
• Self prioritize and effectively plan your own work activities managing multiple priorities and tasks across the team to deliver quality results. Proactively take on additional work to support the team when possible.
• Provide coaching, on-the-job training, and feedback to audit staff, including junior associates and recent hires.

Here's what we're looking for in an ideal teammate:

• You are a critical thinker who seeks to understand the business and its control environment.
• You are able to navigate ambiguity, applying risk management principles to real life situations.
• You believe insight and objectivity are core elements to providing assurance on the effectiveness and efficiency of Capital One’s governance, risk management, and internal control processes.
• You possess a relentless focus on quality and timeliness.
• You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions, test assumptions, and challenge conventional thinking.
• You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition.
• You’re a firm believer that a rich understanding of data, innovation, and technology will only make you a better auditor. This will require leveraging the power of data analytics and furthering your technical expertise.
• You're a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism.
• You create energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.

Basic Qualifications:

• Bachelor's Degree or military experience.
• At least 3 years of experience in auditing, in accounting, in financial analysis, in compliance, or a combination.

Preferred Qualifications:

• At least 1 year of experience in leading audits and performing in the role of auditor-in-charge.
• 2+ years of experience in banking or in financial services.
• 4-6 years experience in internal audit or risk management (can be combined with Big Four external Audit experience).
• 1+ years of experience in performing data analysis in support of internal auditing.
• Master’s Degree in Accounting, Master’s Degree in Finance or Master of Business Administration.
• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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

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.

Charlotte, NC: $106,700 - $121,700 for Principal Auditor

McLean, VA: $117,300 - $133,900 for Principal Auditor

Plano, TX: $106,700 - $121,700 for Principal Auditor

Richmond, VA: $106,700 - $121,700 for Principal Auditor

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.