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Capital One · 6 hours ago

Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance

Chicago, IL

Full-time

Hybrid

Senior Level, Lead/Staff

$107K/yr - $122K/yr

3+ years exp

Capital One is a leading financial services company seeking an energetic, self-motivated Principal Auditor to join their Financial Crimes Compliance Audit team. This role focuses on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects, where the Principal Auditor will maintain high ethical standards and deliver value-added insights to management.

BankingCredit CardsFinanceFinancial Services

Comp. & Benefits

No H1B

Responsibilities

Participate in major components of business units and lead small to medium size BSA / AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and perform relevant testing based on the risks and processes associated with the area being audited. Assist in communicating issues, risks and recommendations to all levels of management

Operate independently and ensure work is completed to schedule and meets our high-quality standards

Develop and maintain strong and effective working relationships with key business partners and the extended Audit group

Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery

Proactively follow-up on agreed audit actions to ensure management delivers their commitments within the agreed timescales

Proactively seek out learning opportunities to enhance skills and competencies related to role

Qualification

BSA/AML auditingFraud Compliance auditingData analysisCertified Fraud Examiner (CFE)Certified Anti-Money Laundering Specialist (CAMS)Certified Internal Auditor (CIA)CoachingCritical thinkingRelationship buildingAdaptability

Required

Bachelor's Degree or military experience

At least 3 year of experience in auditing, Anti-Money Laundering, Fraud or Sanctions, or a combination

Preferred

Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), or Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification

4+ years of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination

1+ years of experience performing data analysis in support of internal auditing