Sr Manager, Audit - Capital Planning & Stress Testing

Capital One Financial   •  

Mc Lean, VA

5 - 7 years

Posted 211 days ago

This job is no longer available.

Sr Manager, Audit - Capital Planning & Stress Testing

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 and Risk 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 highly collaborative team 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, Audit, will be responsible for assessing risk and developing the audit plan for assurance coverage of capital planning, stress testing and related regulatory reports 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.


  • Plan, perform or lead audits primarily focusing on accounting related risks and controls. Perform risk assessments of business activities, potential exposures and materiality of loss. Design and perform audit procedures, including identifying and defining issues, reviewing an analyzing evidence, and documenting auditee processes and procedures. Prepare written audit results. Identify and evaluate Capital One risk.
  • Manage staff during audit engagements, and provide feedback on work performed. Ensure work is performed in a quality fashion that meets deadlines. Prepare work papers for more advanced areas of work.
  • Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery.
  • Establish and maintain good client relations during engagements. Establish and build working relationships with line management. Communicate the audit results to management, which may include senior management, via written reports and oral presentations.
  • Provide input into the development of the annual audit plan. Design, execute and/or oversee internal control testing for standardized operations of moderate complexity with more than one component, including finance, IT, compliance, credit, security.

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. 

Basic Qualifications:

  • Bachelors Degree or military experience
  • At least 7 years of experience in auditing, at least 7 years of experience in accounting, at least 7 years in financial analysis, at least 7 years in treasury, at least 7 years in risk management or a combination.
  • At least 4 years of experience in leading audit engagements and performing the role of auditor in charge
  • At least 2 years of experience in Capital Management, at least 2 years of experience with ICAAP, at least years of experience with CAP, at least 2 years of experience with CCAR, or a combination. 

Preferred Qualifications:

  • Master's Degree in Auditing, Master's Degree in Accounting, Master's Degree in Finance, Master's Degree in Economics, Master of Business Administration.
  • Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certified Bank Auditor (CBA).
  • 7+ years of experience in large banking, 7+ years of experience in the financial services industry, or 7+ years in a professional services firm serving clients in large banks.
  • 1+ years of experience with data analytics tools in support of internal audit.