Audit Director, Financial Crimes Compliance

Capital One Services, LLC • New York, NY • 4h ago

Audit Director, Financial Crimes ComplianceOverview:Capital One's Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organization's Audit Committee. Audit professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. Audit's vision to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creates a dynamic and challenging atmosphere for both personal growth and professional opportunity.We're is seeking an energetic, self-motivated Audit Director interested in becoming part of our Audit team. As a member of the Financial Crimes Compliance (FCC) Audit team, the candidate will focus on all aspects of financial crimes compliance across the bank. A Director on the FCC Audit team will be responsible for designing and executing a risk-based testing strategy to ensure the quality of AML, Sanctions and Fraud risk management is effective across all lines of business within Capital One. The Director will provide input into the development of the ongoing audit plan and ensure the team maintains a comprehensive understanding of the AML, Sanctions and Fraud risk profile of the audit universe. This role will be hired as a Capital One associate with a near-term focus on audit execution and delivery for Discover Financial Services as part of our integration effort.Responsibilities:- Lead and/or execute compliance related audits within Capital One, including the supervision of audit staff on related audit engagements.- Proactively monitor the 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 portfolios.- 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, improving or deteriorating trends, 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. Communicate complex results and implications, incorporating different perspectives into deliverables.- 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. Demonstrate the ability to successfully meet deadlines.Here's what we're looking for in an ideal teammate:- You are a critical thinker who seeks to understand the business and its control environment.- 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 possess a relentless focus on quality and timeliness.- You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions, test assumptions, and challenge conventional thinking.- You develop

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