Financial Crimes Compliance- Audit Manager (Hybrid)

$147,800 - $168,700/Yr

Capital One - Melville, NY

Full-time - Mid Level

Hybrid - Melville, NY

Credit Intermediation and Related Activities

About the position

The Financial Crimes Compliance Audit Manager at Capital One is responsible for leading audits focused on Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) compliance across various lines of business. This role involves planning, performing, and managing audit engagements, as well as developing relationships with internal and external stakeholders. The Audit Manager will leverage data analytics to enhance audit processes and communicate findings effectively to management, contributing to the overall risk management strategy of the organization.

Responsibilities

• Plan, perform, and lead BSA / AML Compliance and Fraud audits at the enterprise level.
• Manage staff during audit engagements and provide feedback on work performed.
• Design and perform compliance audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes.
• Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
• Communicate the results of audit projects to management through written reports and oral presentations.
• Establish and build working relationships with internal and external management.
• Liaison with the bank's regulatory agencies.
• Perform AML risk assessments of business activities, potential risks exposures, and materiality of loss.
• Provide input into the development of the annual audit plan.

Requirements

• Bachelor's Degree or military experience.
• At least 5 years of experience conducting Bank Secrecy Act /Anti-Money Laundering audits, Risk Management audits, Compliance audits or a combination.
• At least 3 years of experience leading audits and performing in the role of auditor-in-charge.

Nice-to-haves

• Master's Degree in Auditing, Accounting, Finance, or Business Administration.
• Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE).
• 6+ years of experience in Anti-Money Laundering (AML), Fraud, and/or Sanctions.
• 2+ years of experience with data analytics tools in support of internal audit.

Benefits

• Comprehensive health insurance coverage.
• Performance-based incentive compensation, including cash bonuses and/or long-term incentives.
• Inclusive set of financial benefits supporting total well-being.