Director – Audit-Compliance

Director – Audit-Compliance

Requirements

• Bachelor’s degree or military experience
• At least 10 years of experience in auditing, at least 10 years of experience in compliance or at least 10 years of experience in risk management or a combination
• At least 5 years of experience in banking or financial services
• At least 3 years of experience in people management
• At least 3 years of experience managing audit engagements

Responsibilities

• Lead and/or execute compliance related audits within Capital One, including the supervision of audit staff on related audit engagements.
• Proactively monitor assigned audit universe for changing risks and needed updates. Lead continuous monitoring activities and updates to risk assessments, audit universe, and audit plan.
• Direct business unit and project audits across assigned portfolio.
• Review engagement planning documentation and audit programs to ensure adequate coverage of risk and sufficient rationale for audit scope.
• Supervise and coordinate work assignments amongst audit team members. Provide timely feedback, on-the-job training and coaching to audit staff and direct reports.
• Establish and maintain good relationships with key business and audit partners. Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus. Effectively represent internal audit at management meetings, internal forums, and to external organizations.
• Assess relevance of audit findings, potential exposures, materiality, and demonstrate awareness of big picture issues. Interpret business priorities, anticipate issues and obstacles, and apply to scope of role.
• Deliver appropriate, succinct and organized information, tailoring communication style to audience. Effectively review and compile relevant, material findings and recommendations into readable and concise audit reports.
• Manage timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department.

Preferred Qualifications

• Master’s Degree in Accounting, Finance, Economics, or Business Administration
• Professional certification such as Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Chartered Financial Analyst (CFA), Certified Risk Manager (CRM), or Certified Regulatory Compliance Manager (CRCM)
• Experience with consumer compliance, privacy and conduct risk management
• 12+ years of experience in internal auditing, regulatory compliance, first or second line risk management, or a combination
• 7+ years of experience in banking or financial services
• 7+ years of experience in leadership or supervisory roles
• 1+ years of experience performing data analysis in support of internal auditing