Senior Manager, Audit Practices

You’re a there’s-no-‘I’-in-team manager.


The best leaders don’t just motivate, they inspire.  That’s how we reach our goals and why we reward outstanding results.  Sound like you?  Then consider Capital One, a financial services leader and FORTUNE 500® company, where you’ll find an environment that values your abilities and rewards results that drive business success.


Supports continued development and maintenance of the Audit Business Model, including the Audit Methodology and related policies, standards and procedures, tools and technologies, quality assurance, training and development, knowledge management and communication, and related projects.  Work involves managing or conducting projects, providing input to the development of the annual plan, and providing training, coaching and supervision to internal staff.  Maintains a focus on the execution and reporting of results related to the Quality Assurance and Improvement Program.  Ensures that audit results are translated into well-communicated recommendations to executive management emphasizing strengthening of control and process weaknesses in order to prevent recurrences and reduce exposure to losses.  A senior manager provides communications support for executive and departmental presentations and special events.  He/She maintains all organizational and professional ethical standards, works independently under general supervision, and is able to exercise some latitude for initiative and independent judgment.


KEY RESPONSIBILITIES


A. Size and Scope of Audit Responsibility

Leads in the development, execution and reporting of the Quality Assurance and Improvement Program.

Assists in the development and revision of the audit methodology and related departmental policies, standards and procedures.

Works independently under general supervision, and enjoys some latitude for initiative and independent judgment.

Performs other related work as assigned.

B. Span of Control

Supervises up to 8 staff members on projects.

Coordinates work assignments among team members when serving as the project leader.

May assist the Senior Manager and PPG Vice President in performing staff management responsibilities including training and evaluating staff.

C. Complexity

Familiar with the design and execution of internal control testing of fairly complex operations with many components, including finance, compliance, IT, credit, security, etc.

Able to plan, perform and lead audit tasks of high-level difficulty, demonstrating the degree of audit experience needed to effectively supervise the work of other auditors.

Demonstrates an in-depth understanding of the broader context and implications of the various types of risks affecting the business (e.g., financial, legal, reputational, etc.).

Effectively identifies and understands changes in the risk environment, and adapts the audit testing as appropriate.

Demonstrates flexibility in responding to changes in assignment and job responsibility.

D. Relationship Management

Establishes and maintains good client relationships during engagements.

Communicates the audit process, objectives and general scope of work to audit internal customers, maintaining ongoing communication as appropriate.

May at times be called upon to effectively represent internal audit on enterprise-wide project teams, at management meetings, and to some external organizations.

E. PPG Administration

May assist the Senior Manager and PPG Vice President in the development and implementation of the annual audit plan and financial and staff budgets.

F. Professional Conduct

Maintains all organizational and professional ethical standards, while actively advocating and monitoring compliance.

Pursues professional development opportunities, including internal and external training and professional association membership, and shares information gained with co-workers.


EDUCATION/EXPERIENCE/CREDENTIALS


A. Years of Experience

8 or more years of full-time experience in internal or external auditing, accounting, financial analysis, compliance or other related field.

4 or more years of full-time experience in the internal or external quality assurance field

B. Education

Bachelor’s degree from an accredited college or university.

C. Certification

Professional certification such as a CIA, CPA, CRCM or CISA.


PROFESSIONAL KNOWLEDGE


A. Core Professional Knowledge

A solid understanding of each of the following:

The principles of internal control, generally accepted audit practices, and COSO

Credit review and line of business audit strategies

Financial institution laws and regulations

Auditing information technology

Meeting facilitation, presentation skills, and client related management skills

Business process and controls engineering

Credit card economics

Skills required to serve as an auditor-in-charge of an engagement

Internal audit standards and code of ethics (The Institute of Internal Auditors Standards for the Professional Practice of Internal Auditing and Code of Ethics)

Time management

Business writing

Project management

Basic credit card industry knowledge

B. Specialized Knowledge & Proficiency

Other types of professional knowledge that may be essential to effective job performance.
REQUIREMENTS
SKILLS & QUALIFICATIONS


The skills & qualifications outlined in this job description are specifically needed for the audit position.  Capital One’s core employment competencies are those behaviors that have been established as a company-wide standard defining high performance and success for each job level.  To qualify for this position, the incumbent for this job must successfully demonstrate the required level of proficiency in the core competencies.


A. Problem Solving/Decision Making

For audits of diverse and complex business units, can assess relevancy of audit findings, potential exposures, materiality, improving or deteriorating trends, causes and reporting categories.

B. Organization and Project Management

3 + years of experience leading audit engagements.

Demonstrates ability to project-manage and meet deadlines for audit engagements requiring up to 8 staff members.

C. Teamwork

Effectively works as an engagement team leader.

D. Verbal & Written Communication

Effectively compiles relevant, material findings and recommendations into readable and concise audit reports.

E. Working Relationships

Maintains appropriate audit independence and objectivity.

Presents self in a professional manner at all times.

F. Value Added Audit Services

Ability to advise management on effective ways to address control issues disclosed by audits and to prospectively review, and comment on corporate policies, standards and procedures.

G.  Management & Supervision

Has experience and success supervising staff on audit projects.

H. Leadership

Demonstrates ability to set and articulate a strategic vision, drive critical decision making, influence and inspire others, and get results.

I. Other

Other skills and qualifications that may be required for specialty positions.


TO APPLY

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