Sr. Auditor, Financial Crimes Compliance

Capital One Richmond , VA 23234

Posted 2 months ago

West Creek 7 (12077), United States of America, Richmond, Virginia

Sr. Auditor, Financial Crimes Compliance

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 Senior Auditor interested in becoming part of our Financial Crimes Compliance (FCC) Audit team. As a member of the Financial Crimes Compliance Audit team, you will focus on audits that involve conducting operational, financial and compliance audit projects and providing input to the annual audit plan. The Senior Auditor will be responsible for maintaining all organizational and professional ethical standards.


  • Participate in major components of business units and lead small to medium size BSA / AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and perform relevant testing based on the risks and processes associated with the area being audited. Assist in communicating issues, risks and recommendations to all levels of management.

  • Operate independently and ensure work is completed to schedule and meets our high-quality standards.

  • Develop and maintain strong and effective working relationships with key business partners and the extended Audit group.

  • Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery.

  • Proactively follow-up on agreed audit actions to ensure management delivers their commitments within the agreed timescales.

  • Proactively seek out learning opportunities to enhance skills and competencies related to role.

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 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 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 1 year of experience in auditing, at least 1 year of experience in accounting, at least 1 year of experience in financial analysis, at least 1 year of experience in compliance, at least 1 year of experience in Anti-Money Laundering, Fraud or Sanctions, or a combination.

Preferred Qualifications:

  • Master's Degree in Auditing, Master's Degree in Accounting, Master's Degree in Information Systems or Master of Business Administration

  • Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification

  • 1+ year of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination

  • 1+ 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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Sr. Auditor, Financial Crimes Compliance

Capital One