Audit Manager - Compliance

You’re a knowledge-is-a-competitive-advantage professional.


At Capital One, a financial services leader and FORTUNE 200® company, we value expertise in specialized disciplines.  If you have deep knowledge in Compliance, you can join a fast-paced, collaborative environment that appreciates and rewards your experience.


Job Description:


The Capital One Corporate Audit Division is committed to providing an enterprise level and independent audit program that meets the highest professional standards.  The Compliance Auditor will be instrumental in the execution of compliance assurance and risk management services across the Corporation’s compliance functions.  The successful candidate possesses a working knowledge of key banking and financial services compliance regulations and practices and has recent experience working in a Financial Institution or Regulatory Environment.  In addition to developing relationships with Capital One business managers, the successful candidate will:


Develop and execute compliance related audit work programs utilizing department standards

Execute on all aspects of audit methodology including planning, preparation of written scope documents, work papers and audit reports, fieldwork, and audit issue follow-up activities

Prepare and present audit recommendations to business unit management to improve the internal control environment and gain efficiencies

Research, interpret, apply compliance regulations to business area audits

Serve as subject matter expert for compliance with laws and regulations to other audit groups

Understand key business objectives and associated risk factors in regards to regulatory compliance

Participate in risk mitigation sessions for new projects or processes and ensure that all significant regulatory risks are identified and accounted for appropriately.

Actively participate in team meetings and recommend/contribute to continuing improvement initiatives

Undertake special projects as required
REQUIREMENTS
Required:

The successful candidate will have working knowledge of key banking laws, regulations, and regulatory guidance including, but not limited to, Consumer Protection, Anti-Money Laundering/OFAC, Fair Lending, Community Reinvestment Act, Privacy, Loans to Insiders, Transactions with Affiliates, Bank Bribery Act and Foreign Corrupt Practices Act.  Candidates must have related experience in a diversified Financial Services Institution.  Candidate must have strong organization, communication, and relationship management skills.


Other specific qualifications include:

Minimum 4-6 years of regulatory compliance experience (internal audit experience preferred)

Strong analytical and problem solving skills

Ability to recognize and assess compliance risks within Capital One business areas

Solid interpersonal and relationship building skills, including ability to work in a team environment

Excellent oral and written communication skills

Ability to manage multiple, concurrent activities in a timely manner and drive to completion


Preferred:

Advanced business degree or CIA, CRP or CRCM certification

Financial services industry experience


Job #506601


No agencies please. Capital One is an equal opportunity employer dedicated to diversity in the workplace. We promote a drug-free work environment.