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Audit Manager - Enterprise Risk Management

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Job Details
Job Order Number
661178
Company Name
Capital One Services II, LLC
Physical Address
300 Delaware Ave Ste 900
Wilmington, DE 19801
Job Description

Job ID: R78072

McLean 2 (19052), United States of America, McLean, Virginia

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.

Audit Manager – Enterprise Risk Management

Corporate Audit Services (CAS), 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 Committees. The CAS department is considered one of the leading internal audit functions within the financial services industry and is highly regarded within Capital One. CAS 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 CAS culture creates a dynamic and challenging atmosphere for both personal growth and professional opportunity. The Risk Management Audit team is responsible for providing a comprehensive program of audit coverage for the firm’s risk management framework and related controls across all lines of business.

CAS is seeking an energetic, self-motivated Audit Manager who will be responsible for assisting the Audit Director in delivering the audit plan for assurance coverage of Capital One’s Enterprise and Operational Risk Management processes in the Second Line of Defense, and First Line Business Risk Offices. The Audit Manager will also act as a liaison with other Internal Audit teams by providing insights on risk management framework and mitigating controls including Risk and Control Self Assessments, Loss Events, Third Party Management, and Issue Management in the First Line of Defense. The Audit Manager is expected to identify areas of risk and possible opportunities to improve efficiencies. As part of the broader Audit team, the candidate will also contribute to other audits as determined through audit planning processes.

The Audit Manager will maintain key business partner relationships, stay abreast of evolving industry practices, risk management methodology, and regulatory expectations, and provide consultation to the broader audit team where appropriate.

Key Responsibilities:

  • Perform risk assessments of business units and design and perform appropriate audit procedures to verify the effectiveness of controls, document client processes and procedures, review and analyze evidence, and identify and define issues.
  • Deliver major components of audits, and may lead small to medium size audits. Provide input into the development of the annual audit plan.
  • Understand the broader context and implications of the various types of risk affecting the business (e.g., financial, legal, reputational, etc.).
  • Establish and maintain good client relations during engagements and take action to support the client experience.
  • Prepare clear, organized, and complete documentation to support work performed.
  • Self-prioritize and effectively plan own work activities, managing multiple priorities and tasks, and deliver quality results.
  • Deliver appropriate, succinct and organized information, tailoring communication style to audience.
  • Effectively communicate information, issues and audit progress to teammates, clients,and auditor-in-charge.

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

  • You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions and test assumptions.
  • You seek to deepen relationships and shared objectives with your business partners to deliver an elevated value proposition and outstanding business results.
  • You’re a firm believer that data will only make you a better Auditor. This part will require looking at some data, so you’ll want to ensure that analytics doesn’t scare you off.
  • You’re a teacher. You have a passion for coaching and investing in the development of your team.
  • Lastly, you create energy and an environment that make it easy to attract, hire, and retain top talent.

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.
  • At least 5 years’ experience in bank or financial services auditing, or at least 5 years of experience in enterprise or operational risk management, or a combination.
  • At least 2 years’ experience leading audit engagements performing in the role of auditor-in-charge, or at least 2 years’ experience in project management, or a combination.
  • CIA, CPA, CRCM, or CFSA certification.

Preferred Qualifications:

  • Bachelors or Advanced Degree in Accounting, Finance, Economics, Business Administration, or related field.
  • 3+ years’ experience auditing enterprise or operational risk management activities of large financial services institutions.
  • 1+ years of experience in auditing, or performing, third party management
  • 1+ years of experience with data analytics tools in support of internal audit.

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

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Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.

All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.

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; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.


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