Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance (FCC) (Hybrid)
Welcome to Capital One! We are currently seeking a highly skilled and experienced Principal Auditor to join our Financial Crimes Compliance (FCC) team. As a member of our dynamic and innovative organization, you will play a critical role in ensuring the integrity and effectiveness of our FCC program. We are seeking a talented and motivated individual who is dedicated to upholding ethical standards and has a strong understanding of financial crimes compliance. If you have a passion for auditing and a desire to make a difference in the financial industry, we want to hear from you!
- Conduct audits of the Financial Crimes Compliance (FCC) program to ensure compliance with internal policies, regulatory requirements, and industry best practices.
- Develop and implement audit plans and procedures, including risk assessments, testing methodologies, and reporting formats.
- Identify potential areas of risk and make recommendations for improvements to mitigate those risks.
- Review and analyze internal controls, policies, and procedures related to FCC to identify potential deficiencies and areas for improvement.
- Collaborate with other teams within the organization to share knowledge and best practices related to FCC.
- Keep abreast of industry developments and changes in regulations to ensure audit processes and procedures are up-to-date and in compliance.
- Provide guidance and training to team members on FCC-related topics and best practices.
- Prepare and present comprehensive audit reports and findings to senior management and other stakeholders.
- Participate in meetings and discussions with external auditors, regulators, and other stakeholders as necessary.
- Continuously monitor and evaluate the effectiveness of the FCC program and make recommendations for enhancements as needed.
- Maintain a high level of confidentiality and integrity in handling sensitive information related to FCC audits.
- Act as a subject matter expert on FCC issues and provide guidance to other teams within the organization.
- Foster a culture of compliance and ethical behavior within the organization.
- Participate in special projects and initiatives related to FCC as assigned by senior management.
- Uphold the values and standards of Capital One, including diversity and inclusion, and promote a positive work environment.
- Adhere to all company policies, procedures, and ethical standards in carrying out job responsibilities.
Extensive Experience In Auditing And Compliance: The First Qualification For A Principal Auditor At Capital One Would Be A Strong Background In Auditing And Compliance, Preferably With Experience In Financial Crimes Compliance. This Would Ensure That The Individual Has A Solid Understanding Of The Regulatory Landscape And Can Effectively Evaluate And Assess The Organization's Compliance With Relevant Laws And Regulations.
Knowledge Of Financial Crimes Regulations: The Ideal Candidate Should Have A Deep Understanding Of Financial Crimes Regulations Such As The Bank Secrecy Act, Anti-Money Laundering Laws, And Other Relevant Regulations. This Knowledge Is Crucial For Identifying Potential Compliance Risks And Developing Effective Controls To Mitigate Them.
Strong Analytical And Problem-Solving Skills: As A Principal Auditor, The Individual Would Be Responsible For Conducting Complex Audits And Investigations Related To Financial Crimes Compliance. Therefore, They Should Possess Strong Analytical And Problem-Solving Skills To Identify Potential Issues, Assess Their Impact, And Develop Effective Solutions.
Leadership And Project Management Experience: A Principal Auditor At Capital One Would Be Leading A Team Of Auditors And Managing Multiple Projects Simultaneously. Therefore, The Ideal Candidate Should Have Demonstrated Experience In Leadership And Project Management, Including The Ability To Effectively Delegate Tasks, Manage Timelines And Deliverables, And Provide Guidance And Direction To Team Members.
Excellent Communication And Interpersonal Skills: As A Member Of The Senior Management Team, The Principal Auditor Would Be Required To Communicate Audit Findings And Recommendations To Stakeholders, Including Senior Leadership And Regulatory Authorities. Therefore, Strong Communication And Interpersonal Skills, Including The Ability To Present Complex Information In A Clear And Concise Manner, Are Essential For This Role.
Data Analysis
Auditing
Report Writing
Compliance
Internal controls
Team Leadership
Risk assessment
Training and Development
Due Diligence
Fraud detection
Investigation
Regulatory Knowledge
Communication
Conflict Resolution
Emotional Intelligence
Leadership
Time management
Interpersonal Skills
Critical thinking
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance (FCC) (Hybrid) in McLean, VA, USA is $95,000 - $135,000 per year. This may vary depending on the specific company, location, and level of experience of the individual.
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Capital One Financial Corporation is an American bank holding company specializing in credit cards, auto loans, banking, and savings accounts, headquartered in McLean, Virginia. Capital One is ranked 11th on the list of largest banks in the United States by assets.
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