Principal Auditor, Audit Operations and Reporting

About the position Capital One's Audit function is a dedicated group of audit professionals focused on delivering top quality assurance services to the organization's Audit and Risk Committees. The Audit department is considered one of the leading internal audit functions within the financial services industry and is highly regarded within Capital One. Audit professionals are experienced, well-trained and credentialed, and operate within a highly collaborative team environment to deliver value added opinions and recommendations. In addition, the Audit vision of providing high value, independent proactive insights and innovating with technology create a dynamic and challenging atmosphere for both personal growth and professional opportunity. Audit is seeking an energetic, self-motivated Principal Auditor to join the Audit Operations and Reporting team. Audit Operations and Reporting is an internal support team that works to drive industry-leading change. This function brings together technology, innovation and Audit processes to the heart of Internal Audit to enable high value, well-managed, data powered assurance. The Audit Operations and Reporting team is responsible for facilitating and governing horizontal Audit processes critical in supporting dynamic planning and demonstrating Internal Audit coverage across the enterprise. This includes maintaining well-managed data, developing methodology and guidance, and managing operational reporting for the department, as well as coordinating with audit teams and executives regarding organizational results, Audit plan data and driving enhancements across the department.

Responsibilities

• Design and execute internal operational processes and department wide deliverables and initiatives in areas such as Audit Universe, Audit Plan, Risk Assessment, Skills Assessment, Audit Issues Management, Audit Committee and Executive Leadership communications reporting and other cross functional activities.
• Utilize internal systems, data repositories and analytical tools to execute operational tasks, perform analysis and produce management and operational reporting on large datasets with a focus on maintaining the quality and integrity of data for cross functional audit activities.
• Assist with maintenance and support of the Audit systems (e.g., AuditBoard) including leading troubleshooting efforts, addressing user questions and helping to drive forward system enhancements for simplicity, automation and efficiency to meet stakeholder and operational needs.
• Assist with ad hoc requests from various stakeholders.
• Establish and maintain strong and effective working relationships within and outside the department.
• Prepare recurring department, senior management and Board deliverables and reporting and at times communicate the results of audit processes and projects to various stakeholders.
• Lead the creation and scheduling of the Quarterly and Annual Planning activities and related meetings.
• Work with the team to continuously identify and implement process and system improvements for simplicity, automation and efficiency.
• Self-prioritize and independently complete multiple concurrent tasks including but not limited to recurring deliverables, presentations, special assignments/initiatives, and administrative activities.
• Demonstrate the ability to successfully meet deadlines.

Requirements

• Bachelor's Degree or military experience
• At least 4 years of experience in auditing, accounting, risk management, data analytics or a combination

Nice-to-haves

• 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)
• 2+ years of experience in banking or financial services industry
• 2+ years of experience in performing data analytics using Tableau or other analytical tools
• 1+ years experience with Google Suite

Benefits

• Comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
• Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI).

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