Introduction to the Role of a Senior Staff Auditor in Retail Bank Audit
The Internal Audit function of Capital One is a dedicated group of audit professionals focused on delivering top-quality assurance services to the organization’s Audit Committee. The Audit department is highly regarded within Capital One and is considered one of the leading internal audit functions within the financial services industry. The professionals within this department are experienced, well-trained, and credentialed. They operate within a highly collaborative team environment to deliver value-added opinions and recommendations.
Key Responsibilities of a Senior Staff Auditor
The Retail Bank Audit team is actively seeking a highly motivated and self-driven Senior Auditor. The Senior Auditor will execute professional internal auditing responsibilities across the Retail Bank line of business and associated functional areas. This includes digital banking, branch/cafe experience, bank operations such as cash management, ATM, tax reporting, estate, and escheatment, contact center, and small business banking. This audit work involves conducting operational, financial, and compliance audit projects and contributing to the annual audit plan development. The Senior Auditor will be responsible for maintaining all organizational and professional ethical standards.
What Makes an Ideal Senior Staff Auditor?
An ideal Senior Staff Auditor at Capital One is someone who:
- Provides assurance on governance, risk management, and internal controls with insight and objectivity.
- Adapts easily, is intellectually curious, and challenges assumptions.
- Builds influential, trusting relationships based on shared risk objectives to deliver impact and elevate Audit’s value.
- Values data, innovation, and technical knowledge, using analytics to improve audit capabilities and is comfortable with technology.
- Is a coach who invests in team development.
- Fosters a positive environment that attracts and retains top talent.
Responsibilities of a Senior Staff Auditor
The primary responsibilities of a Senior Staff Auditor include:
- Assessing the risk of business activities, potential exposures, and materiality of loss; designing and performing audit procedures to verify effectiveness.
- Designing and executing internal control testing for moderately complex operations. Performing and often planning audit tasks of moderate difficulty, demonstrating appropriate expertise.
- Using data and analytical tools during all phases of audit delivery.
- Establishing and maintaining strong client relations during engagements.
- Starting to communicate audit results to management through written reports and oral presentations.
Qualifications for the Role of Senior Staff Auditor
The basic qualifications for this position are a Bachelor’s Degree, military experience, and at least 2 years of experience in auditing, accounting, financial analysis, or compliance. Preferred qualifications include Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) or Certified Regulatory Compliance Manager (CRCM) or Certified Information Systems Auditor (CISA) or Certified Bank Auditor (CBA). Experience in banking or the financial services industry and experience auditing in the areas of retail banking, consumer lending, payments, small business banking, vendor management, or any combination is also preferred.
Working at Capital One
This role is hybrid, with associates typically spending 3 days per week in-person at one of our offices. The minimum and maximum full-time annual salaries for this role vary by location. Performance-based incentive compensation, which may include cash bonuses and/or long-term incentives, is also available. 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 Capital One Careers website.
Capital One’s Commitment to Equal Opportunity
Capital One is an equal opportunity employer committed to non-discrimination in compliance with applicable federal, state, and local laws. The company promotes a drug-free workplace and will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries.
If you are interested in applying for this position and require accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at [email protected]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
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