Principal Auditor, Credit Risk Management (Hybrid)

$118,700 - $135,400/Yr

Capital One - New York, NY

Full-time - Senior

New York, NY

Credit Intermediation and Related Activities

About the position

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 Credit Risk Management. The role involves leading small audits or owning significant components of larger audits, developing engagement planning documentation, designing and executing audit procedures, and preparing clear documentation to support work performed. The candidate will also establish and maintain good client and team relations, effectively communicate audit progress, and manage multiple priorities to deliver quality results. Additionally, the role includes providing coaching and feedback to audit staff, including junior associates and recent hires. The ideal candidate is a critical thinker who seeks to understand the business and its control environment, believes in the importance of insight and objectivity, and possesses a relentless focus on quality and timeliness. They should be adaptable to change, intellectually curious, and capable of developing influential relationships based on shared risk objectives. A strong understanding of data, innovation, and technology is essential, as is a passion for coaching and investing in the betterment of the team. The role is hybrid, requiring associates to spend about half their time in-person at one of the listed offices, with specific in-person days designated for collaboration.

Responsibilities

• 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.
• Document auditee processes and procedures, review and analyze evidence, and identify potential issues.
• Prepare clear, organized, and complete documentation to support work performed, including draft 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.
• 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.

Requirements

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

Nice-to-haves

• At least 2 years of experience in leading audits and performing in the role of auditor-in-charge
• 2+ years of experience in banking or in financial services
• 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

Benefits

• Comprehensive health benefits
• Financial benefits including performance-based incentives
• Inclusive benefits supporting total well-being