Senior Audit and Exam Coordinator
ValonSalary not specified
Full Time
Senior (5 to 8 years)
Senior Audit Manager, Corporate Compliance (Hybrid) at Capital One
Charlotte, North Carolina, 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 7 years of experience in auditing, compliance, risk management or a combination
- At least 5 years of experience in leading audit engagements or performing in the role of auditor-in-charge
- At least 1 year of experience in people management
- Adapt to change, embrace bold ideas, and are intellectually curious
- Ask questions and test assumptions
- Seek to deepen relationships and shared objectives with business partners
- Comfortable with data and analytics
- Strong people leader and teacher with passion for coaching and team development
- Create energy and environment to attract, hire, and retain top talent
- Preferred Qualifications
- 5+ years of experience in one or more areas of compliance, such as consumer compliance or brokerage compliance
- 10+ years of experience in banking or the financial services industry
- 2+ years of experience with data analytics tools in support of internal audit
- 1+ years of experience with privacy compliance in the financial services industry
- Certified Regulatory Compliance Manager (CRCM); Certified Internal Auditor (CIA) or Certified Public Accountant (CPA)
Responsibilities
- Plan, perform, and lead large/complex compliance-related audits at the enterprise level as well as other diverse lines of business and specialty areas
- Help to implement the team’s strategic imperatives/priorities
- Establish and build working relationships with internal and external management
- Provide significant input into the development of the annual audit plan
- Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes
- Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery
- Communicate the results of audit projects to management (written reports/oral presentations)
- Manage staff during audit engagements and provide feedback on work performed
Skills
Key technologies and capabilities for this role
Questions & Answers
Common questions about this position
What are the basic qualifications for the Senior Audit Manager role?
Candidates need a Bachelor’s Degree or military experience, at least 7 years of experience in auditing, compliance, risk management or a combination, at least 5 years of experience in leading audit engagements or performing as auditor-in-charge, and at least 1 year of experience in people management.
What are the preferred qualifications for this position?
Preferred qualifications include 5+ years of experience in one or more areas of compliance.
Is this role remote or hybrid, and what is the location policy?
The role is hybrid, as indicated by the job title.
What is the company culture like in Capital One's Audit team?
The Audit team operates in a collaborative, agile environment focused on delivering value-added opinions, innovation with technology, personal growth, and professional opportunities, with a vision to provide high-value, independent, proactive insights.
What qualities make an ideal candidate for this Audit Senior Manager position?
Ideal candidates adapt to change, embrace bold ideas, are intellectually curious, build strong relationships with business partners, leverage data and analytics, and are strong people leaders passionate about coaching and team development.
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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