At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.
Guided by our shared 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 each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates 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 change banking for good.
Sr. Manager, Cyber Audit & Exams
As a member of the highly regulated financial industry, Capital One is subject to numerous examinations conducted by various government organizations. Coupled with the rise of cyber attacks on our customers’ financial and personal data, the Cyber organization is a focal point of many of these examinations. Additionally, in support of complying with this government oversight and our own internal risk management framework, Capital One’s Corporate Audit Services (CAS) conducts frequent audits of the Cyber organization, its processes, and security controls.
The Cyber Audit and Exam Liaison (AEL) team, as a part of the Cyber Resilience initiative, is focused on delivering high quality, consistent, and compliant communication with Capital One’s external examiners (OCC, FRB, FINRA) and internal auditors. Capital One is seeking an energetic, self-motivated Senior Manager interested in leading our Cyber AEL team. In response to new and evolving threats, the candidate will work closely with members of the Cyber Senior Leadership team to develop and communicate the strategic approach to responding to internal and external assessments of key Cyber processes. The candidate will identify potential trends and focal areas of upcoming internal and external assessments to better prepare the Cyber organization. The candidate will provide leadership to members of the Cyber AEL team, facilitating knowledge sharing of best practices and industry trends, and contributing to their career development. The candidate will work independently, with guidance from Cyber Resilience leadership as needed. Career development and growth opportunities exist through our established training programs within the Cyber organization, as well as in technology and business functions. The candidate will be expected to maintain all organizational and professional ethical standards.
- Coordinate participation in internal audits and exams through coordination of program documentation and quality assurance review of evidence (submitted to the auditors and/or examiners)
- Prepare Cyber Senior Leadership team (including CISO) for their key activities in internal audits and exams
- Coordinate and monitor corrective action of findings and risks, and ensure implementation by deadlines
- Coordinate documentation on issue remediation efforts (including milestone deliverables and overall finding completion), request list trackers, and review evidence
- Lead development of status reporting and validation of audit/exam data, including audit/exam metrics to senior leadership
- Lead a highly collaborative team, managing time with a sense of urgency to ensure audit and exam deliverables are completed within established timeframes
- Identify when there are concerns to deliverables or potential new issues from an internal audit or exam and escalate to Cyber Senior Leadership team, as appropriate
- Establish and maintain strong relationships with both team members and stakeholders
- Review audit and exam findings and assist with documentation in the risk system of record, PRIME
- Periodically review Cyber audit and exam processes to identify improvements and efficiencies
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 team member as part of the Audit and Exam team.
- 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.
- Bachelor’s Degree or military experience
- At least 7 years of experience in information systems auditing, information systems risk management, and systems development
- At least 4 years of experience performing in the role of auditor-in-charge or at least 4 years of experience as an IT project manager
- Master’s Degree in Information Systems or Master of Business Administration
- Certified Information Systems Auditor (CISA), or Certified Internal Auditor (CIA), or Certified Information Systems Security Professional (CISSP), or Certified Information Security Manager (CISM)
- 5+ years of experience in banking or 5+ years of experience in the financial services industry
- 3+ years of experience with IT control frameworks and their application to audits of IT controls
- 3+ years of experience with data analytics tools in support of internal audit
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.]