Senior Associate - Audit Operations and Reporting

About this role

Senior Associate - Audit Operations and Reporting

Capital One’s Audit function is a dedicated group of audit professionals focused on delivering top-quality assurance services to the organization’s Audit and Risk Committees. The Audit department is considered one of the leading internal audit functions within the financial services industry and is highly regarded within Capital One. Audit professionals are experienced, well-trained and credentialed, and operate within a highly collaborative team 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.   We are seeking an energetic, self-motivated Senior Associate to join the Audit Operations and Reporting team. Audit Operations and Reporting is an internal support team that works to drive industry-leading change. This function brings together technology, innovation and Audit processes to the heart of Internal Audit to enable high value, well-managed, data-powered assurance. The Audit Operations and Reporting team is responsible for facilitating and governing horizontal Audit processes critical in supporting dynamic planning and demonstrating Internal Audit coverage across the enterprise. This includes maintaining well-managed data, developing methodology and guidance, and managing operational reporting for the department, as well as coordinating with audit teams and executives regarding organizational results, Audit plan data, and driving enhancements across the department.

Responsibilities: • Design and execute internal operational processes and department wide deliverables and initiatives in areas such as Annual Audit Planning, Audit Risk Assessment, Continuous Monitoring, Skills Assessment and Audit Issues Management and Trending Analysis. Assist with Audit Committee and Executive Leadership communications and reporting as well as facilitate other cross functional activities. 

• Utilize internal systems, data repositories and analytical tools to execute operational activities, perform analysis and produce management and operational reporting on large datasets with a focus on maintaining the quality and integrity of data for cross functional audit activities.

• Proactively monitor and maintain awareness of changes to the internal and external business environment for impacts to initiatives and deliverables including for risk assessments and dynamic updates to our Audit Universe and Plan.

• Assist with maintenance and support of Audit systems (e.g., Optro/AuditBoard, Risk Assessment Application) including leading troubleshooting efforts, addressing user questions and helping to drive forward system enhancements for simplicity, automation and efficiency to meet stakeholder and operational needs.

• Develop and maintain strong and effective working relationships with key business partners and the extended Audit group.

• Monitor Audit communication channels including email, slack, internal webpages to provide responses to department questions and requests and manage processes for proactively sharing of information with stakeholders.

• Prepare recurring department, senior management and Board deliverables and reporting and at times communicate the results of audit processes and projects to various stakeholders.

• Self-prioritize and independently complete multiple concurrent tasks including but not limited to recurring deliverables, presentations, special assignments/initiatives, and administrative activities. Demonstrate the ability to successfully organize project deliverables and meet deadlines.

• Responsible for maintaining all organizational and professional ethical standards.

Here's what we're looking for in an ideal teammate: • Exhibits a proven track record of process management, bringing the ability to quickly put structure in place to manage the work.

• Adapts to change, embraces bold ideas, and is intellectually curious. Likes to ask questions, test assumptions, and challenge conventional thinking. 

• Leverages the power of data analytics and further your technical skills to build a rich understanding of data, innovation, and technical knowledge. 

• Demonstrates outstanding communication and partnership skills which are essential for interacting and communicating with key stakeholders across all levels to manage, inform, and influence outcomes.

• Demonstrates learning agility to adapt to changing demands.

• Displays strong consulting and collaboration skills.

• Possesses a continuous improvement mindset and openness to new initiatives as well as demonstrates critical thinking.

• Exhibits a relentless focus on quality and timeliness.

• Creates 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 2 years of experience in auditing, accounting, risk management, data analytics or a combination  

Preferred Qualifications: • Professional certification such as Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Information Systems Auditor (CISA).

• 2+ years of experience in banking or financial services industry

• 2+ years of experience in performing data analytics using Tableau or other analytical tools

• 1 + experience with using Google Suite

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, an

Similar jobs

• Internal Audit Senior Associate, Operations & Compliance — Coinbase · Remote
• Senior Associate, Operations — Setpoint · New York, NY (Hybrid)
• Senior Auditor - Finance and Operations — Lambda · San Jose Office (First St)
• Senior Audit Associate — Baker Tilly · USA TN Nashville
• Internal Audit Senior Associate — Kodiaksolutions · Remote
• Senior Associate, Accounting — Capital One · Richmond, VA | McLean, VA | Wilmington, DE
• Regulatory Reporting Operations- Associate — Morgan Stanley · New York, New York, United States
• Senior Associate, Sales Operations — Dailypay · Remote