Director, Audit- Compliance

Company: Capital One
Location: Charlotte
Posted on: March 27, 2025

Job Description:

Director, Audit- ComplianceOverview: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 Audit Director interested in becoming part of our Audit team. As a member of the Compliance Audit team, the candidate will focus on all aspects of compliance across the bank to include consumer compliance audits.Responsibilities:

• Lead and/or execute compliance related audits within Capital One, including the supervision of audit staff on related audit engagements.
• Proactively monitor 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 portfolio.
• 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.
• Assess relevance of audit findings, potential exposures, materiality, 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.
• 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.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, at least 10 years of experience in compliance or at least 10 years of experience in risk management or a combination
    • At least 5 years of experience in banking or financial services
    • At least 3 years of experience in people management
    • At least 3 years of experience managing audit engagementsPreferred 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), or Certified Regulatory Compliance Manager (CRCM)
      • Experience with consumer compliance, privacy and conduct risk management
      • 12+ years of experience in internal auditing, regulatory compliance, 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
      • 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.The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.Charlotte, NC: $181,800 - $207,500 for Audit DirectorMcLean, VA: $200,100 - $228,400 for Audit DirectorPlano, TX: $181,800 - $207,500 for Audit DirectorRichmond, VA: $181,800 - $207,500 for Audit DirectorCandidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.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.This role is expected to accept applications for a minimum of 5 business days. 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. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries.
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Keywords: Capital One, Charlotte , Director, Audit- Compliance, Accounting, Auditing , Charlotte, North Carolina