Job: Manager, Audit--Compliance Job

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Jobing Description

Manager, Audit--Compliance-632559

Description
Capital One is seeking Manager, Compliance Audit

In this role you will lead or conduct compliance audits, supervising the audit staff on each engagement, while designing and executing compliance requirements and internal controls testing for moderately complex operations with some integrated components. You will provide input to the development of the annual audit plan. In addition, you will provide training and coaching to internal audit staff, maintain all organizational and professional ethical standards, and work and exercise judgment / latitude under general supervision.

Responsibilities:
- Plans, leads and performs compliance audits at the enterprise-wide level and for complex business units. Also, may plan, lead or perform compliance components of audits led by operations, financial or IT audit groups
- Serving as auditor-in-charge, supervises up to 5 staff members and coordinates work assignments
- Performs compliance risk assessments of business activities, potential exposures and the materiality of loss
- Designs and performs audit procedures, including identification, development and documentation of audit issues and recommendations for their remediation.
- Designs and executes internal control testing for standardized operations, including compliance, finance, IT, credit and security
- Provides input into the development of the annual audit plan
- Maintains good client relationships during audit engagements
- Communicates or assists in communicating the results of audit projects to management via written reports and oral presentations

Qualifications
Basic Qualifications:
- Bachelors Degree
- 5 years of combined experience in one or more of the following fields: internal or external auditing, regulatory agency examining, financial industry compliance risk management practices, legal and regulatory practices, or any other related fields with 1 year of those years in large banks / financial services industry or serving large banks in a professional services firm

Preferred Qualifications:
- Certification or working toward a professional certification, such as a CRCM, CAMS, CIPP, CIA, or CISA
- Basic knowledge of financial services laws and regulations, with a focus on BSA/AML, mortgage, retail lending, deposit, privacy, fair lending, or other consumer compliance requirements
- Effective communication (verbal and written) with management

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

Job: Audit, Risk Management and Security
Primary Location: United States-Virginia-Richmond-Richmond-West Creek 3 (12073)

Other Locations:United States-Texas-Plano-DFW-Plano People Center Bldg 1 (31061), United States-Virginia-McLean-Northern VA-McLean Campus (19050)
Schedule: Full-time
Travel: Yes, 25 % of the Time