Sr. Audit Manager
M&T BankSalary not specified
Full Time
Senior (5 to 8 years)
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance at Capital One
Charlotte, North Carolina, United States
Not SpecifiedCompensation
Senior (5 to 8 years)Experience Level
Full TimeJob Type
UnknownVisa
Banking, Financial ServicesIndustries
Requirements
- Bachelor's Degree or military experience
- At least 3 years of experience in auditing, Anti-Money Laundering, Fraud or Sanctions, or a combination
- Preferred Qualifications
- Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification
- 4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination
- 1+ years of experience performing data analysis in support of internal auditing
Responsibilities
- Participate in major components of business units and lead small to medium size BSA/AML, Sanctions, and Fraud Compliance audits
- Perform risk assessments of business activities and perform relevant testing based on the risks and processes associated with the area being audited
- Assist in communicating issues, risks and recommendations to all levels of management
- Operate independently and ensure work is completed to schedule and meets high-quality standards
- Develop and maintain strong and effective working relationships with key business partners and the extended Audit group
- Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery
- Proactively follow-up on agreed audit actions to ensure management delivers their commitments within the agreed timescales
- Proactively seek out learning opportunities to enhance skills and competencies related to role
Skills
Key technologies and capabilities for this role
Questions & Answers
Common questions about this position
What are the main responsibilities of the Principal Auditor role?
The role involves participating in major components of business units and leading small to medium size BSA/AML, Sanctions, and Fraud Compliance audits, performing risk assessments and testing, communicating issues to management, operating independently to meet quality standards, and leveraging data analytics.
What skills and qualities make an ideal candidate for this position?
Ideal candidates are critical thinkers who understand business and control environments, focus on quality and timeliness, adapt to change, build influential relationships, and leverage data, innovation, and technology to enhance auditing.
What is the work environment like in Capital One's Audit function?
The Audit function operates in a collaborative, agile environment with experienced, well-trained professionals, focusing on high-value insights, innovation with technology, and providing dynamic opportunities for personal growth and professional development.
Is this a remote position or does it require office work?
This information is not specified in the job description.
What is the salary or compensation for this Principal Auditor role?
This information is not specified in the job description.
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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