Senior Auditor, Compliance
Welcome to Capital One's Compliance team! As a Senior Auditor, you will play a critical role in ensuring our company's adherence to regulatory and internal policies. We are seeking a highly skilled and detail-oriented individual with extensive experience in conducting compliance audits. Your expertise will be invaluable in identifying potential risks and developing strategies to mitigate them. If you are passionate about maintaining ethical standards and promoting a culture of compliance, we invite you to join our team.
- Conduct thorough compliance audits to assess the company's adherence to regulatory and internal policies.
- Identify potential risks and develop strategies to mitigate them.
- Collaborate with cross-functional teams to gather information and ensure compliance with regulations.
- Analyze data and document findings in detailed audit reports.
- Provide recommendations for improvements and corrective actions to address compliance issues.
- Stay updated on industry regulations and best practices to ensure the company's compliance processes are up-to-date.
- Train and mentor junior auditors to improve their understanding of compliance standards.
- Communicate effectively with stakeholders at all levels, including senior management, to provide updates on audit findings and recommendations.
- Conduct special investigations as needed to identify and address potential compliance violations.
- Promote a culture of compliance within the company by educating employees and promoting ethical standards.
- Ensure all audit processes and documentation are in line with company standards and industry regulations.
- Uphold confidentiality and integrity in handling sensitive information related to compliance audits.
- Participate in internal and external audits and assist in the implementation of audit recommendations.
- Proactively identify and report any potential compliance risks to the compliance team and senior management.
- Continuously evaluate and improve the effectiveness of the company's compliance program.
Extensive Experience In Auditing And Compliance: A Senior Auditor At Capital One Should Have At Least 5-7 Years Of Experience In Auditing And Compliance, Preferably In The Financial Services Industry. This Experience Should Include Conducting Internal Audits, Evaluating And Testing Internal Controls, And Identifying Compliance Risks.
Strong Knowledge Of Regulatory Requirements: The Ideal Candidate Should Possess A Deep Understanding Of Regulatory Requirements And Industry Standards Related To Compliance. This Includes Knowledge Of Laws Such As The Bank Secrecy Act, Anti-Money Laundering Regulations, And The Fair Credit Reporting Act.
Excellent Analytical And Problem-Solving Skills: As A Senior Auditor, The Ability To Analyze Complex Information, Identify Potential Compliance Issues, And Develop Effective Solutions Is Crucial. The Candidate Should Have Strong Critical Thinking Skills And Attention To Detail To Effectively Assess Risks And Make Sound Judgments.
Effective Communication And Interpersonal Skills: The Senior Auditor Will Need To Interact With Various Stakeholders, Including Senior Management, Regulators, And External Auditors. Therefore, Excellent Communication And Interpersonal Skills Are Necessary To Effectively Convey Audit Findings And Recommendations.
Professional Certifications: Capital One May Prefer Candidates Who Hold Professional Certifications Such As Certified Internal Auditor (Cia), Certified Regulatory Compliance Manager (Crcm), Or Certified Bank Auditor (Cba). These Certifications Demonstrate A Strong Understanding Of Auditing And Compliance Principles And A Commitment To Professional Development.
Financial Reporting
Process Improvement
Project Management
Data Analysis
Communication
Compliance testing
Internal controls
Risk assessment
Regulatory compliance
Fraud detection
Audit planning
Audit Methodology
Communication
Conflict Resolution
Emotional Intelligence
Leadership
Time management
creativity
Organization
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Senior Auditor, Compliance in Plano, TX, USA is $75,000-$120,000 per year. This salary range can vary depending on factors such as the company, experience level, and specific job duties. Some companies may offer additional benefits such as bonuses, stock options, and other perks which can also impact the total compensation.
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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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