Director of Audit, Compliance Job recruitment

Director of Audit, Compliance-709609

Description
Corporate Audit Services, 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. In addition, the CAS vision of Innovate Continually, Perform Brilliantly, and Set the Standard create a dynamic and challenging atmosphere for both personal growth and professional opportunity.

In this Director level role you will oversee professional internal audits and projects focused on regulatory compliance and risk management practices, as well as perform advanced level compliance risk assessments. You will provide major input to the development of the annual audit plan and provide compliance training, coaching and supervision to the internal audit staff. In addition, you will be expected to maintain all organizational and professional ethical standards, work independently under general supervision, and exercise latitude for initiative and independent judgment in all facets of your work.

Responsibilities:

- Oversees internal audit staff responsible for assessment of compliance risk management programs at an enterprise-level and auditing execution of legal and regulatory requirements in diverse lines of business and specialty areas. Provide major input to staff audit engagement planning, fieldwork, reporting, and the identification, development and documentation of audit issues, and recommendations for their remediation.
- Manages the implementation of compliance audit procedures, including, but not limited to, identifying and defining issues, reviewing and analyzing evidence, documenting auditee processes and procedures, and assessing appropriateness of any needed remediation.
- Interacts with middle and senior level compliance management in ongoing evaluation of and consultation about Capital One compliance risk management processes.
- Assists Compliance Audit Vice President/Managing Vice President in the planning, organizing, directing and monitoring of internal audit operations.
- Continually achieves and maintains high level of regulatory compliance and risk management practices knowledge.
- May interact directly with regulatory agency examination teams.
- May manage up to 4 people and have staff management responsibilities including hiring, training, evaluating staff, and taking corrective action when necessary.

Qualifications
Basic Qualifications:
- Bachelors Degree
- 10 years of combined experience in one or more of the following fields: internal or external auditing, regulatory agency examining, financial industry compliance risk management practices, legal and regulatory practices, or any other related fields.
- 3 years experience in large banks/financial services industry, or serving large banking companies in a professional services firm.

Preferred Qualifications:
- Advanced degree in accounting, law, finance, economics, information systems, or business administration
- 11+ years of combined experience in one or more of the following fields: internal or external auditing, regulatory agency examining, financial industry compliance risk management practices, legal and regulatory practices, or any other related fields.
- 4+ of those years experience in large banks/financial services industry, or serving large banking companies in a professional services firm
- Professional certification such as CRCM, CAMS, CIPP, CIA or CISA.
- Broad and deep knowledge of financial services laws and regulations, with a focus on BSA/AML, mortgage, retail lending, deposit, privacy, fair lending, and other consumer compliance requirements.
- Demonstrated success establishing and maintaining strong working relationships with all levels of associates, management and external parties.
- Demonstrated success managing and directing audit associates to deliver a value-added assurance function.
- Senior leadership experience in driving change in one's own function.
- Strong, effective communicator (verbally and in writing) with executive management.
- Respected, positive, natural team leader with a proven ability to develop, motivate, and influence associates and external parties.
- Ability to drive budget and performance improvements

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

No agencies please. Capital One is an equal opportunity employer committed to diversity in the workplace. We promote a drug-free work environment. We emphasize recruiting, hiring, and retaining the most qualified candidates and providing them with the opportunity to meet their potential. We provide an environment where differences lead to solutions.

J2W:CB

J2W:LI

Job : Audit, Risk Management and Security
Primary Location : United States-Virginia-Richmond-Richmond-West Creek 3 (12073)

Other Locations: United States-New York-Garden City-NW Suffolk-NFB HQ #2 Melville (22068)
Schedule : Full-time
Travel : Yes, 10 % of the Time

Job Posting :
Unposting Date :