Principal Auditor - Risk Management

About this role

Principal Auditor - Risk Management

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 Audit team. As a member of the Audit team, the candidate will focus on audits of Second Line Risk Management (Enterprise Risk Management, Operational Risk Management, Third Party Risk Management, Business Continuity, Payment Risk, Network Conflict Risk) and the First Line Risk Offices.  The role will also provide Subject Matter Expertise and advisory to other audit teams regarding risk management. 

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 and/or the appropriateness of enterprise frameworks and requirements. 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. Independently gather facts to support  issues and concerns, escalate to necessary groups, and help draft audit 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 which may include issue validations, regulatory exam support, and/or other team initiatives.  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 4 years of experience in auditing, in accounting, in financial analysis, in compliance, or a combination.

• At least 1 year of Enterprise Risk Management experience or Operational Risk Management Experience

Preferred Qualifications: • 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+ 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: $109,900 - $125,400 for Principal Auditor   Chicago, IL: $109,900 - $125,400 for Principal Auditor   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   Riverwoods, IL: $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 am

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