Senior Compliance Analyst
EarnestSalary not specified
Full Time
Junior (1 to 2 years)
Principal Auditor (Experienced Senior Auditor), Consumer Lending Audit (Hybrid) at Capital One
Richmond, Virginia, United States
Not SpecifiedCompensation
Senior (5 to 8 years)Experience Level
Full TimeJob Type
UnknownVisa
Financial Services, BankingIndustries
Requirements
- Bachelor's Degree or military experience
- At least 3 years of experience in auditing; at least 3 years of experience in accounting; at least 3 years of experience in risk management; at least 3 years of experience in compliance, or a combination
- Critical thinker who seeks to understand the business and its control environment
- Relentless focus on quality and timeliness
- Ability to adapt to change, embrace bold ideas, and be intellectually curious (ask questions, test assumptions, challenge conventional thinking)
- Ability to develop influential relationships based upon shared risk objectives and trust
- Rich understanding of data, innovation, and technology, with ability to leverage data analytics and technical expertise
- Passion for coaching, teaching, leading by example, and investing in team betterment
- Ability to lead through change with candor and optimism, fostering trust, collaboration, and belonging
- Preferred Qualifications
- At least 2 years of experience in leading audits
Responsibilities
- Lead small audits over the Card and Auto Finance business, 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 auditee processes and procedures, review and analyze evidence, and identify potential issues
- Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery to provide stakeholders with assurance, advice, and insight
- Prepare clear, organized, and complete documentation to support work performed, including draft 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 work activities, managing multiple priorities and tasks across the team to deliver quality results; proactively take on additional work to support the team
- Provide coaching, on-the-job training, and feedback to audit staff, including junior associates and recent hires
Skills
Internal Audit
Risk Management
Compliance Auditing
Audit Planning
Audit Procedures
Data Analytics
Process Documentation
Internal Controls
Capital One
Offers diverse financial products and services
About Capital One
Capital One provides a variety of financial services aimed at making banking accessible and easy for everyone. The company offers products such as credit cards, savings accounts, car loans, and business checking accounts, catering to both individual consumers and small businesses primarily in the United States. Capital One's approach includes user-friendly banking solutions with no fees or minimums for checking accounts, allowing customers to manage their finances more effectively. They generate revenue through interest on loans, credit card fees, and investment banking services. What sets Capital One apart from its competitors is its strong commitment to financial inclusion and literacy, demonstrated through community partnerships and educational initiatives, such as collaborations with Khan Academy. The company's goal is to create a more inclusive financial system and empower customers with the knowledge and tools they need to make informed financial decisions.
McLean, VirginiaHeadquarters
2014Year Founded
$15.9MTotal Funding
IPOCompany Stage
Fintech, Financial ServicesIndustries
10,001+Employees
Benefits
Medical, Dental, & Vision coverage
Onsite Health Centers
Prescription saving with network of local pharmacies
Stock Purchase Plan
Education Assistance
401(k)
Flexible Spending Accounts
Life and Disability insurance
Generous paid time off + corporate & floating holidays
Registered dieticians on site, cooking classes and free virtual fitness classes
Employee Assistance Program
Risks
Increased competition in subscription management tools may dilute Capital One's advantage.
Over-reliance on partnerships could expose Capital One to technological risks.
Departure of key personnel like Joe Rodriguez may affect risk management continuity.
Differentiation
Capital One offers user-friendly banking with no fees or minimums for checking accounts.
The company partners with Khan Academy to provide financial literacy education.
Capital One is the first major U.S. bank to offer subscription management tools.
Upsides
Capital One's mobile app is a model for secure, user-friendly digital banking.
Data sharing with Worldpay enhances payment security and fraud prevention.
Partnerships with fintechs like Minna Technologies improve customer experience.
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