Overview

The Internal Audit function within Capital One is a dedicated group of audit professionals focused on delivering top quality assurance services to the organization’s Audit and Risk Committee. The Audit department is considered one of the leading internal audit functions within the financial services industry and is highly regarded within Capital One. Audit professionals are experienced, well-trained and credentialed, and operate within a highly collaborative team environment to deliver value added opinions and recommendations. In addition, the Audit vision of Innovate ContinuallyPerform Brilliantly, and Set the Standard creates a dynamic and challenging atmosphere for both personal growth and professional opportunity.

 

Audit is seeking an energetic, self-motivated Audit Manager with financial services experience, specifically wealth/investment management and/or consumer lending, to join our Audit team. As a member of the Audit team, the Audit Manager will be responsible for coordinating audits over wealth management operations and risk management as well as engaging in due diligence activities related to our wealth management business. The manager will also assist in leading audits related to consumer lending, including credit card and auto finance, and will work closely with members of the technology, compliance, and finance audit teams who support key audit projects. Each audit assignment enables the Audit Manager to demonstrate business, technical and industry knowledge while assessing business risks, identifying key controls, and performing risk-based testing. Career development and growth opportunities exist through our established training programs within the Audit team, as well as in the business function. The Audit Manager will be responsible for maintaining all organizational and professional ethical standards.

 

Here’s what we’re looking for in an ideal teammate:

  • You believe insight and objectivity are core elements to providing assurance on the effectiveness and efficiency of Capital One’s governance, risk management, and internal control processes.
  • You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions, test assumptions, and challenge conventional thinking.
  • You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition.
  • You’re a firm believer that a rich understanding of data, innovation, and technical knowledge will only make you a better Auditor. This will require leveraging the power of data analytics and furthering your technical know how, so you’ll want to ensure that technology doesn’t scare you off.
  • You’re a teacher. You have a passion for coaching and investing in the betterment of your team.
  • Lastly, you create energy and an environment that makes it easy to attract, hire, and retain top talent.

 

Responsibilities:

  • Serve as a subject matter expert within Audit on investment adviser practices.   
  • Perform risk assessments of business activities, potential exposures and the materiality of loss. Assist in the development of engagement planning documentation to communicate rationale for scoping decisions and develop audit programs to ensure adequate coverage of risk.
  • Execute internal control testing for audits, demonstrating a degree of audit expertise consistent with experience level.  Assist in leading moderate to complex audits.
  • Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
  • Manage timely and quality delivery of multiple tasks, such as audits, projects, special assignments, or administrative tasks. Self-prioritize and independently complete multiple tasks across the team and department. Demonstrate the ability to successfully meet deadlines for the audit engagement.
  • Establish and maintain good client relations during engagements.
  • Effectively communicate audit process scope, protocol, issues, risks and recommendations to clients throughout audit or project engagements. 

 

As one of the “100 Best Companies to Work For,” you can look forward to coming to work every day with a team of people that are committed to excellence and doing the right thing. 

 

Basic Qualifications:

– Bachelor’s Degree or military experience

– Professional certification such as FINRA Series 9 and 10, or Certified Financial Planner, or Chartered Financial Analyst

– At least 5+ years of experience within the asset and wealth management industry, including the Investment Advisers Act of 1940 and related SEC regulations

– At least 3 years of experience in auditing, risk management, compliance, or a combination

 

Preferred Qualifications:

– Master’s degree in auditing, accounting, finance, economics, or business administration

– Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) or Certified Regulatory Compliance Manager (CRCM) or Certified Information Systems Auditor (CISA) or Certified Bank Auditor (CBA)

– 2+ years of experience in leading audits and performing in the role of auditor-in-charge

– 2+ years of experience in banking or 2+ years of experience in financial services industry

– 1+ years of experience auditing consumer lending products (i.e., credit cards or auto finance)

– 1+ years of experience performing data analysis in support of internal auditing

– Experience with integrating small advisory companies within large organizations

 

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One’s recruiting process, please send an email to Careers@capitalone.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).

Who We Are

At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.