Principal Auditor - Global Finance

Capital One; New York (NY); Hybrid; USD 132,000 - 151,000; Full time

Job summary

Capital One is seeking an energetic Principal Auditor to develop and execute the audit plans for the Finance business. The role spans accounting, regulatory reporting, market and liquidity risks, and treasury and balance sheet management across the first and second lines of defense.

You will lead audits, design procedures, document evidence, and coach staff while collaborating with stakeholders to ensure effective governance and control processes. Hybrid work arrangement with company benefits.

Qualifications

• Bachelor's Degree or military experience is required.
• At least 4 years of experience in auditing, accounting, financial analysis, or compliance.
• Preferred: 5+ years of auditing and 2+ years in banking/financial services; data analysis experience is a plus.

Responsibilities

• Lead small audits or own significant components of larger audits.
• Develop engagement planning documentation and audit programs.
• Design and execute audit procedures to verify internal controls and document evidence.
• Prepare clear documentation including draft findings and conclusions.
• Maintain strong relationships with stakeholders and communicate audit progress.

Skills

Auditing

Accounting

Financial analysis

Data analysis

Critical thinking

Education

Bachelor's degree or military experience

Master’s Degree in Accounting/Finance or MBA

CIA/CPA/CFA/FRM or relevant certification

Job description

Capital One is seeking an energetic, self-motivated Principal Auditor who will assist in the development and execution of the audit plans for assurance coverage of Capital One’s Finance business. As a member of the Finance Audit team, the candidate will primarily focus on audits related to accounting, regulatory reporting, market and liquidity risks, counterparty credit risks, and other risks in treasury and balance sheet management across both the first and second lines of defense. Additionally, as part of the broader Audit organization, the candidate will lead or contribute to other audits identified during audit planning processes.

• Lead small audits, or own completion of significant components of larger audits
• Develop engagement planning documentation for assigned areas, 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 auditee processes and procedures, review and analyze evidence, and identify potential gaps
• Prepare clear, organized, and complete documentation to support work performed, including draft findings
• Establish and maintain strong, collaborative relationships with stakeholders and team members throughout each engagement. Effectively communicate information and audit progress to team, stakeholders, and auditor-in-charge
• Prioritize and effectively plan your own work activities, manage 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 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 4 years of experience in auditing, in accounting, in financial analysis, in compliance, or a combination

Preferred Qualifications:

• At least 5 years of experience in auditing, in accounting, in financial analysis, in compliance, or a combination
• 2+ years of experience in banking or in financial services
• 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), Chartered Financial Analyst (CFA), Financial Risk Manager (FRM), 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 will 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.

McLean, VA: $120,800 - $137,900 for Principal Auditor

New York, NY: $131,800 - $150,500 for Principal Auditor

Plano, TX: $109,900 - $125,400 for Principal Auditor

Richmond, VA: $109,900 - $125,400 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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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 4901-4920; 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.

For technical support or questions about Capital One's recruiting process, please send an email to [e-mail].