EXPERIENCE

Principal Associate

PRIMARY ADDRESS

New York, New York
Overview
Principal Auditor (Experienced Senior Auditor), Risk Management Audit (Hybrid)
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 Principal Auditor (Experienced Senior Auditor) interested in becoming part of our Audit team. As a member of the Audit team, the candidate will focus on audits of Second Line Risk Management (Enterprise Risk Management, Operational Risk Management, Third Party Risk Management, Business Continuity) and the First Line Risk Offices. The role will also provide Subject Matter Expertise and advisory to other audit teams regarding risk management.

BASIC QUALIFICATIONS:

• Bachelor’s Degree or military experience
• At least 3 years of experience in auditing, at least 3 years of experience in accounting, at least 3 years of experience in financial analysis, at least 3 years of experience in compliance, or a combination.

PREFERRED QUALIFICATIONS:

• 1+ year of experience in leading audits and performing in the role of auditor-in-charge
• 2+ years of experience in banking or in financial services
• 4+ years experience in internal audit or risk management (can be combined with Big Four external Audit experience)
• 1+ years of experience in performing data analysis in support of internal auditing
• Master’s Degree in Accounting, Master’s Degree in Finance or Master of Business Administration
• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification

• Lead small audits, or own completion of significant components of larger audits.
• Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions, and develop audit programs to ensure adequate coverage of risks.
• Design and execute appropriate audit procedures to verify the effectiveness of internal controls and/or the appropriateness of enterprise frameworks and requirements. Document audit processes and procedures, review and analyze evidence, and identify potential issues.
• Prepare clear, organized, and complete documentation to support work performed and conclusions reached. Independently gather facts to support issues and concerns, escalate to necessary groups, and help draft audit findings.
• Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor-in-charge.
• Self prioritize and effectively plan your own work activities managing multiple priorities and tasks across the team to deliver quality results which may include issue validations, regulatory exam support, and/or other team initiatives. Proactively take on additional work to support the team when possible.
• Provide coaching, on-the-job training, and feedback to audit staff, including junior associates and recent hires.