Audit Manager - Audit Practices (Board Reporting and Regulatory Management)

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 - Audit Practices (Board Reporting and Regulatory 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 Committee. 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.

CAS is seeking an energetic, self-motivated Manager, with board reporting and regulatory management experience, to join the Audit Practices team. The Audit Practices team oversees quality assurance and improvement program, annual planning and risk assessment, audit methodology, training, operations, board reporting, regulatory management, audit technology, and department-wide improvement initiatives for CAS.

The Audit Manager will be responsible for supporting board reporting, regulatory management, and special projects.

Responsibilities include:

  • Develop and produce quarterly Audit Committee materials for the Chief Audit Officer, including ad-hoc board reporting when necessary
  • Manage the continuous monitoring process for the department to ensure leaders are monitoring their respective business areas to capture emerging risk and drive action through plan, risk assessment or scoping changes
  • Manage the retrospective review process to ensure broad themes and learnings are captured and shared with the department to mitigate future risk
  • Liaison with Regulatory Relations to ensure proper management of regulatory feedback and validation activities
  • Support regulatory examination preparation
  • Support process improvement efforts on behalf of the department, including special projects
  • Deliver appropriate, succinct and organized work product, tailoring communication style to audience
  • Communicate complex results and implications, while incorporating different perspectives into final deliverable
  • Demonstrate flexibility in responding to changes in business need
  • Leverage available data and analytical tools during execution and delivery; seek opportunities to automate and simplify processes

The ideal teammate candidate will possess:
  • Ability to navigate ambiguous situations to drive and execute an agenda in a fluid environment
  • Clear results orientation and focus on achieving both short and long term goals
  • Strong communication and presentation skills (written and verbal)
  • Strong interpersonal skills; focus on building strong relationships with business partners
  • Ability to balance operating independently with appropriate escalation
  • Have a collaborative, innovative and solution-oriented work style
  • Strong judgment and critical thinking skills; ability to ground proposals with data and facts
  • Learning agility and a focus on continuous process improvement; openness to new ideas
  • Ability to adapt to a changing environment
  • Understanding of key regulatory and audit requirements, including familiarity with the lines of defense risk management framework

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 of experience in auditing, at least 5 years of experience in risk management, at least 5 years of experience in compliance, at least 5 years of experience in legal, or a combination
  • At least 3 years of experience in project management experience or at least 3 years of experience managing reporting to senior management or external stakeholders

Preferred Qualifications:
  • Master's Degree in Accounting, Master's Degree in Finance, Master's Degree in Economics, or Master of Business Administration
  • Certified Internal Auditor (CIA) or Certified Public Accountant (CPA)
  • Experience working with regulators
  • 3+ years of experience in internal or external auditing
  • 3+ years of experience in Banking or Financial Services
  • 3+ years of experience performing data analysis in support of internal auditing

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

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