Sr. Manager, Audit - Securities & Wealth Management
5 - 7 years experience • Financial Services
Guided by ourshared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for eachother lead to superior results. We elevate eachother and obsess about doing the right thing. Ourassociates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to changebanking for good.Sr. Manager,Audit – Securities &Wealth Management
Corporate Audit Services (CAS), the Internal Audit function within Capital One, is a dedicated group of audit professionals focused on delivering top quality assurance services to the organization’s Audit Committee. The CAS department is considered one of the leading internal audit functions within the financial services industry and is highly regarded within Capital One. CAS professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. In addition, the CAS vision of Innovate Continually, Perform Brilliantly, and Set the Standard create a dynamic and challenging atmosphere for both personal growth and professional opportunity.
This position, Senior Manager, Bank Audit, will lead and/or execute commercial and retail bank operation audits of their securities and wealth and asset management businesses (i.e., capital markets, Capital One Investing, trust services and operations, etc.), within Capital One, including the supervision of audit staff on related audit engagements. Each audit assignment encourages the Candidate to apply business, technical and industry knowledge to assess business risk, identify and design risk based tests of key controls, and lead the engagement team in performance of the audit. The candidate will also provide training and coaching to team members on assignments, and the broader Audit team. The candidate should be able to work independently, with minimal guidance from Audit management, while exercising judgment in risk based assessments. Career development and growth opportunities exist through our established training programs within the Corporate Audit Services team. The candidate will be expected to maintain all organizational and professional ethical standards.
Here's what we're looking for in an ideal teammate:
- 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 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 technical knowledge will only make you a better Auditor. This will require leveraging the power of data analytics and furthering your technical know-how, so you’ll want to ensure that technology doesn’t scare you off.
- You're a teacher. You have a passion for coaching and investing in the betterment of your team.
- Lastly, you create energy and an environment that make it easy to attract, hire, and retain top talent.
As one of the “100 Best Companies to Work For,” you can look forward to coming to work every day with a team of people that are committed to excellence and doing the right thing.
- Bachelor’s Degree or military experience
- At least 6 years of experience in auditing, at least 6 years of experience in financial analysis, at least 6 years of experience in compliance or combined experience
- At least 4 years of experienceauditing:
- Broker-Dealer (advisory services, 401K services, annuities, and insurance products)
- Capital Markets (loan syndications, investment banking, and derivatives)
- Wealth and Asset Management Businesses (trust services and operations, asset management services, and private banking)
- Or a combination of the above
- At least 3 years of people management experience
- At least 1 year of experience with data analytics tools in support of internal audit
- Master’s Degree in one of the following: Auditing, Accounting, Finance, Economics, or Business Administration
- Certified Fiduciary Investment & Risk Specialist (CFIRS), 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)
- 9+ years of experience in auditing, 9+ years of experience in accounting, 9+ years of experience in financial analysis, 9+ years of experience in compliance or a combination
- 6+ years of experience in a large financial services institution or experience servicing a large financial services institution
- 4+ years of experience with FRB, OCC, SEC, FINRA and CFTC laws and regulations
Job ID R29502