Principal Auditor - Risk Management

Overview

Principal Auditor - Risk Management. Capital One’s Audit function provides independent assurance to the organization’s Audit Committee. This role focuses on audits of Second Line Risk Management (Enterprise Risk Management, Operational Risk Management, Third Party Risk Management, Business Continuity, Payment Risk, Network Conflict Risk) and the First Line Risk Offices. The position also provides Subject Matter Expertise and advisory to other audit teams regarding risk management.

• 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 audit procedures to verify the effectiveness of internal controls and/or the appropriateness of enterprise frameworks and requirements. Document audit processes and procedures, review and analyze evidence, and identify potential issues.
• Prepare clear, organized, and complete documentation to support work performed and conclusions reached. Independently gather facts to support issues and concerns, escalate as needed, and help draft audit findings.
• Establish and maintain strong client and team relations during engagements. Communicate information and audit progress to team, clients and the auditor-in-charge.
• Self-prioritize and effectively plan work activities, managing multiple priorities 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.

• You are a critical thinker who understands the business and its control environment.
• You can navigate ambiguity, applying risk management principles to real-life situations.
• You believe insight and objectivity are core to providing assurance on governance, risk management, and internal control processes.
• You have a relentless focus on quality and timeliness.
• You adapt to change, embrace bold ideas, and are intellectually curious. You ask questions, test assumptions, and challenge conventional thinking.
• You develop influential relationships based on shared risk objectives and trust to deliver business impact and elevate Audit’s value proposition.
• You believe that data, innovation, and technology enhance your effectiveness as an auditor, including leveraging data analytics and expanding technical expertise.
• You act as a teacher, lead by example, and invest in the betterment of your team. You lead through change with candor and optimism.
• You create an environment of trust, collaboration, and belonging to attract, hire, and retain top talent.

• Bachelor's Degree or military experience
• At least 3 years of experience in auditing, and at least 3 years in accounting, financial analysis, or compliance, or a combination

• 1+ year of experience leading audits as auditor-in-charge
• 2+ years of experience in banking or financial services
• 4+ years in internal audit or risk management (can be combined with Big Four external audit experience)
• 1+ year of experience performing data analysis in support of internal auditing
• Master’s Degree in Accounting, Finance, or MBA
• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification

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

This role is hybrid, meaning associates typically spend 3 days per week in-person at one of our offices listed in this job posting.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Salaries are for candidates hired to work in the listed locations and are the amount Capital One is willing to pay at the time of posting. Salaries for part-time roles will be prorated based on hours worked.

• Charlotte, NC: $109,900 - $125,400 for Principal Auditor
• Chicago, IL: $109,900 - $125,400 for Principal Auditor
• McLean, VA: $120,800 - $137,900 for Principal Auditor
• New York, NY: $131,800 - $150,500 for Principal…