Audit Director, FCC & Compliance (Hybrid)

Company: Capital One
Location: Plano
Posted on: April 2, 2025

Job Description:

Audit Director, FCC & Compliance (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. Inspired by our colleagues, we are risk identifiers, challengers, influencers, and transformational leaders who drive impactful work for the enterprise.Capital One is seeking an energetic, self-motivated Audit Director interested in becoming part of our Audit team. As a member of the Compliance Audit team, the candidate will focus on developing and leading the strategic approach for all aspects of compliance and/or financial crimes compliance across the bank. A Director on the Compliance Audit team will be responsible for designing and executing a risk-based testing strategy to ensure the quality of Consumer and Commercial Compliance risks, AML, Sanctions and Fraud risk management is effective across all lines of business within Capital One. The Director will provide input into the development of the ongoing audit plan and ensure the team maintains a comprehensive understanding of the AML, Sanctions, Fraud and broader Compliance risk profile of the audit universe.Responsibilities:

• Lead and/or execute operational related audits within Capital One, including the supervision of audit staff on related audit engagements.
• Proactively monitor the assigned audit universe for changing risks and needed updates. Lead continuous monitoring activities and updates to risk assessments, audit universe, and audit plan.
• Direct business unit and project audits across assigned portfolios.
• Review engagement planning documentation and audit programs to ensure adequate coverage of risk and sufficient rationale for audit scope.
• Supervise and coordinate work assignments amongst audit team members. Provide timely feedback, on-the-job training and coaching to audit staff and direct reports.
• Establish and maintain good relationships with key business and audit partners. Leverage specialized knowledge and skills, providing management with insight into their area of subject-matter focus. Effectively represent internal audit at management meetings, internal forums, and to external organizations.
• Provide subject matter expertise to audit partners and ensure comprehensive audit coverage of owned risk domains.
• Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of big picture issues. Interpret business priorities, anticipate issues and obstacles, and apply to scope of role.
• Deliver appropriate, succinct and organized information, tailoring communication style to audience. Effectively review and compile relevant, material findings and recommendations into readable and concise audit reports. Communicate complex results and implications, incorporating different perspectives into deliverables.
• Manage timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department. Demonstrate the ability to successfully meet deadlines.Here's what we're looking for in an ideal teammate:
  • You are a critical thinker who seeks to understand the business and its control environment.
  • 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 possess a relentless focus on quality and timeliness.
  • 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 technology will only make you a better auditor. This will require leveraging the power of data analytics and furthering your technical expertise.
  • You're a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism.
  • You create energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.Basic Qualifications:
    • Bachelor's degree or military experience
    • At least 10 years of experience in auditing, risk management or a combination
    • At least 5 years of experience in banking or financial services
    • At least 3 years of experience in people managementPreferred Qualifications:
      • Master's Degree in Accounting, Finance, Economics, or Business Administration
      • Professional certification such as Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Chartered Financial Analyst (CFA), Certified Risk Manager (CRM), Certified Business Continuity Professional (CBCP), Certified Third-Party Risk Professional (CTPRP) or Accredited Payments Risk Professional (APRP)
      • Experience with operational resiliency, third party risk management, business continuity risk management, payments risk, country risk or a combination
      • 12+ years of experience in internal auditing, first or second line risk management, or a combination
      • 7+ years of experience in banking or financial services
      • 7+ years of experience in leadership or supervisory roles
      • 3+ years of experience managing audit engagements
      • 1+ years of experience performing data analysis in support of internal auditingAt this time, Capital One will not sponsor a new applicant for employment authorization for this position.This role is hybrid meaning associates typically spend about half their time (2-3 days per week) in-person at one of our offices listed on this job posting. Monday and Fridays are enterprise-wide virtual work days. Tuesday, Wednesday and Thursday are in-person days for associates to spend time together working in our beautifully-designed team areas.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law.
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Keywords: Capital One, Plano , Audit Director, FCC & Compliance (Hybrid), Executive , Plano, Texas