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Capital One · 17 hours ago

Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid)

New York, NY

Full-time

Hybrid

Senior Level, Lead/Staff

$107K/yr - $122K/yr

3+ years exp

Capital One is a financial services company seeking an energetic, self-motivated Principal Auditor to join their Audit team. The role focuses on leading audits, developing planning documentation, and ensuring effective internal controls while fostering client and team relationships.

BankingCredit CardsFinanceFinancial Services

Comp. & Benefits

No H1B

Responsibilities

Lead small audits, or own completion of significant components of larger audits

Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions and develop audit programs to ensure adequate coverage of risks

Design and execute appropriate audit procedures to verify the effectiveness of internal controls. Document auditee processes and procedures, review and analyze evidence, and identify potential issues

Prepare clear, organized, and complete documentation to support work performed, including draft findings

Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor-in-charge

Self-prioritize and effectively plan your own work activities managing multiple priorities and tasks across the team to deliver quality results. Proactively take on additional work to support the team when possible

Provide coaching, on-the-job training, and feedback to audit staff, including junior associates and recent hires

Qualification

AuditingComplianceRisk ManagementData AnalyticsCertified Internal AuditorCertified Public AccountantCoachingCritical ThinkingCommunicationTeam Collaboration

Required

Bachelor's Degree or military experience

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

Preferred

At least 2 years of experience leading audit engagements, and performing in the role of auditor-in-charge

4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination

4+ years of experience in one or more areas of compliance, such as consumer, brokerage, wealth management, or trust

1+ years of experience with data analytics tools and performing data analysis in support of internal auditing

Master's Degree in Accounting, Master's Degree in Finance, or Master of Business Administration

Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Anti-Money Laundering Specialist (CAMS)