Senior Finance Audit Lead – Risk & Controls

Capital One; Plano (TX); Hybrid; USD 110,000 - 125,000; Full time

Job summary

Capital One is seeking a Principal Auditor to develop and execute audit plans across Finance, focusing on accounting, regulatory reporting, market and liquidity risks, and treasury controls. The role blends first and second line defense responsibilities and may lead audits or major components of larger engagements.

The ideal candidate has 4+ years in auditing or related fields, with 5+ preferred, and may hold CIA, CPA, CFA, or FRM certifications.

Qualifications

• Bachelor''s Degree or military experience.
• At least 4 years of auditing, accounting, financial analysis, or compliance experience.
• Preferred: 5+ years in auditing and 2+ years in banking/financial services.
• Advanced certifications such as CIA, CPA, CFA, FRM are valued.

Responsibilities

• 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

Skills

Critical thinking

Data analytics

Communication

Coaching

Adaptability

Stakeholder management

Education

Bachelor''s degree

Master’s in Accounting

Master’s in Finance or MBA

CIA / CPA / CFA / FRM

Job description

Capital One is seeking a Principal Auditor to develop and execute audit plans across Finance, focusing on accounting, regulatory reporting, market and liquidity risks, and treasury controls. The role blends first and second line defense responsibilities and may lead audits or major components of larger engagements.

The ideal candidate has 4+ years in auditing or related fields, with 5+ preferred, and may hold CIA, CPA, CFA, or FRM certifications.