Principal Auditor, Audit Practices - Methodology (Hybrid)
New York · Charlotte · Full time · Posted 6D AGO
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.
Capital One is seeking an energetic, self-motivated Principal Auditor interested in becoming part of our Audit Professional Practices - Methodology team. As a member of the Methodology team, the candidate will focus on aligning and modernizing our audit methodology with the best in the world, board reporting, regulatory management, audit technology, and department-wide improvement initiatives implementing creative and innovative solutions to challenging problems.
Responsibilities:
- Support audit methodology updates and related enhancement efforts, including conducting research and analysis, ensuring alignment with professional and regulatory requirements.
- Participate in the design and execution of best-in-class operational processes.
- Coordinate and execute on small to moderately complex projects (e.g., methodology related issues, gap assessments, regulatory requests for information, operational and technology transformations/ implementations), owning completion of assigned work.
- Prepare and deliver clear verbal and written communication to audit teams and audit leadership.
- Leverage available data and analytical tools during execution and delivery of assignments and to drive deeper insights on department behaviour and challenges.
- Serve as a trusted advisor, thought partner, and establish and maintain good relations with audit teams and other key stakeholders.
- Facilitate audit training sessions in both small and large group formats.
- Partner with audit teams, Audit Insights & Innovation, the broader Audit Professional Practices teams, and other key stakeholders in ideating and implementing innovative solutions that modernize daily workflows across the audit lifecycle and methodology processes, through all phases of development (from ideation through design, evaluation, validation, implementation, and/or training), supporting well-governed change.
- Identify and champion prioritization of enhancements grounded in research, analysis, and business needs ensuring desired outcomes are met. Be nimble to pivot and make the necessary trade-offs to support delivery of shifting/varying priorities/initiatives.
- Ability to manage and prioritize multiple tasks and meet deadlines.
Additionally, as part of the broader Audit Professional Practices team, the candidate will:
- Develop and provide training and coaching to audit team members, i.e., during new hire audit foundations or practices updates (introduction of new or updated methodology, best practices, and quality expectations).
- Provide guidance and coaching to audit teams on the application of methodology across various audit activities (e.g., standard audits, issue validation).
- Work independently under general supervision, applying independent judgment and initiative.
- Navigate through shifting priorities to contribute to inputs based on quality findings, regulatory feedback, and auditor feedback.
- This role is designated as a hybrid position. You are expected to adhere to Capital One’s hybrid policy regarding required on-site presence at your designated office location.
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, improvement, 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 influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audit’s value proposition.
- You’re a firm believer that a rich understanding of data, innovation, and technology will only make you a better auditor. This will require leveraging the power of data analytics, advanced and emerging technologies, and furthering your technical expertise.
- You're a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism.
- You create energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.
Basic Qualifications:
- Bachelor's Degree or military experience.
- At least 4 years of experience in auditing, accounting, financial analysis, compliance, or a combination,
- At least 2 years of experience in leading audit projects.
Preferred Qualifications:
- Master’s Degree in Auditing, Accounting, Information Systems, or Business Administration.
- Professional certification such as Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Information Systems Auditor (CISA).
- 2+ years of experience in banking or financial services industry
- 1 + years of experience leveraging data analytic tools, generative AI tools, large language models, or scripting languages in support of internal auditing.
“At this time, Capital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position (e.g. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-3, and O-1, or any other forms of work authorization that require immigration support from an employer).”
The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Charlotte, NC: $109,900 - $125,400 for Principal Auditor
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. 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; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com
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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).
