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Job Details

Principal Associate - Compliance Audit

Company name
Capital One Financial Corporation

Location
Richmond, VA, United States

Employment Type
Full-Time

Industry
Accounting, Audit, Compliance, Finance

Posted on
Jan 08,2019

Valid Through
Apr 23,2019

Apply for this job






Profile

West Creek 7 (12077), United States of America, Richmond, VirginiaAt Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.                                               Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.Principal Associate - Compliance AuditCorporate Audit Services (CAS), 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.CAS is seeking an energetic, self-motivated mid-level Principal Auditor to join the Compliance Audit team. The Principal Auditor will perform professional internal auditing work that involves conducting operational, financial and compliance audit projects and providing input to the annual audit plan. Career development and growth opportunities exist through our established training programs within the Corporate Audit Services team.  The candidate will be expected to maintain all organizational and professional ethical standards.HERE'S WHAT WE'RE LOOKING FOR IN AN IDEAL TEAMMATE: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 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 technical knowledge will only make you a better Auditor. This will require leveraging the power of data analytics and furthering your technical know how, so you’ll want to ensure that technology doesn’t scare you off.You're a teacher. You have a passion for coaching and investing in the betterment of your team.Lastly, you create energy and an environment that make it easy to attract, hire, and retain top talent.Responsibilities:Oversee major components of business units and lead small to medium size auditsPerform risk assessments of business activities, potential exposures and the materiality of loss.Design and perform appropriate audit procedures to verify the effectiveness.Design and execute internal control testing for operations of moderate complexityPerform and often plan audit tasks of moderate difficulty, demonstrating a degree of audit expertise consistent with experience level.Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit deliveryEstablish and maintain good client relations during engagements.Begin communicating the results of some audit projects to management via written reports and oral presentations.As one of the “100 Best Companies to Work For,” you can look forward to coming to work every day with a team of people that are committed to excellence and doing the right thing. Basic Qualifications:Bachelor’s Degree or military experienceAt least 3 years of experience in auditing, at least 3 years of experience in consumer compliance, at least 3 years of experience in regulatory examinations, or a combination At least 2 years of experience in leading audits and performing in the role of auditor-in-chargePreferred Qualifications:Master’s Degree in accounting, business administration, finance or economicsCertified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Regulatory Compliance Manager (CRCM), or Certified Anti-Money Laundering Specialist (CAMS)2 year experience in banking or 2 year experience in financial services industry1 years of experience with data analytics tools in support of internal auditAt this time, Capital One will not sponsor a new applicant for employment authorization for this position.,educationRequirements:West Creek 7 (12077), United States of America, Richmond, VirginiaAt Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.                                               Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.Principal Associate - Compliance AuditCorporate Audit Services (CAS), 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. CAS is seeking an energetic, self-motivated mid-level Principal Auditor to join the Compliance Audit team. The Principal Auditor will perform professional internal auditing work that involves conducting operational, financial and compliance audit projects and providing input to the annual audit plan. Career development and growth opportunities exist through our established training programs within the Corporate Audit Services team.  The candidate will be expected to maintain all organizational and professional ethical standards.HERE'S WHAT WE'RE LOOKING FOR IN AN IDEAL TEAMMATE: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 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 technical knowledge will only make you a better Auditor. This will require leveraging the power of data analytics and furthering your technical know how, so you’ll want to ensure that technology doesn’t scare you off.You're a teacher. You have a passion for coaching and investing in the betterment of your team.Lastly, you create energy and an environment that make it easy to attract, hire, and retain top talent.  Responsibilities:Oversee major components of business units and lead small to medium size auditsPerform risk assessments of business activities, potential exposures and the materiality of loss.Design and perform appropriate audit procedures to verify the effectiveness.Design and execute internal control testing for operations of moderate complexityPerform and often plan audit tasks of moderate difficulty, demonstrating a degree of audit expertise consistent with experience level.Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit deliveryEstablish and maintain good client relations during engagements.Begin communicating the results of some audit projects to management via written reports and oral presentations. As one of the “100 Best Companies to Work For,” you can look forward to coming to work every day with a team of people that are committed to excellence and doing the right thing.   Basic Qualifications:Bachelor’s Degree or military experienceAt least 3 years of experience in auditing, at least 3 years of experience in consumer compliance, at least 3 years of experience in regulatory examinations, or a combination At least 2 years of experience in leading audits and performing in the role of auditor-in-charge Preferred Qualifications:Master’s Degree in accounting, business administration, finance or economicsCertified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Regulatory Compliance Manager (CRCM), or Certified Anti-Money Laundering Specialist (CAMS)2 year experience in banking or 2 year experience in financial services industry1 years of experience with data analytics tools in support of internal auditAt 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 and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.comCapital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).,employmentType:GA,identifier:R64559,industry:Full time,title:Principal Associate - Compliance Audit,url:https://www.capitalonecareers.com/job/richmond/principal-associate-compliance-audit/1732/10465454,hiringOrganization:{@type:Organization,name:People Center}}

Company info

Capital One Financial Corporation
Website : http://www.capitalone.com

Company Profile
Capital One isn't just concerned with what's in your wallet; it's interested in your bank account as well. The company is best known as one of the largest issuers of Visa and MasterCard credit cards in the US, but it also boasts a banking network of approximately 1,000 branches, mainly in New York, New Jersey, Louisiana, Texas, and the Washington, DC area. Subsidiary ING Direct offers online and direct banking without branches. Capital One, which serves more than 50 million customers in the US, Canada, and the UK, also has units that offer auto financing, write home loans, sell insurance, and manage assets for institutional and high-net-worth clients.

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