Senior Manager, Audit Operations and Reporting - Audit Universe Management and Reporting

Overview

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. 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.

We are seeking an energetic, self-motivated Senior Manager 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:

• Lead the development and overall department maintenance of the audit universe and audit plan including monitoring progress of plan completion and facilitating validation of the completeness of audit coverage considerations across the enterprise.

• Provide day-to-day operational management around the audit universe and audit plan identification and governance, methodology and tooling and serve as the operational contact for department and regulatory inquiries, consultations and questions.

• Proactively monitor the audit universe and audit plan for changing risks and maintain awareness of changes to the internal and external business environment that may warrant updates in coverage approach.

• Interpret business and audit priorities, anticipate issues and obstacles, and apply to scope of role. Leverage knowledge and skills, providing the broader department with insight into areas of risks including demand vs. capacity constraints.

• Facilitate department wide audit universe and audit plan activities including universe completeness aligned to enterprise operations, quarterly dynamic planning and holistic annual planning as well as associated training.

• Coordinate and facilitate the department's quarterly dynamic and annual planning meetings, aggregate content relevant to stakeholders that helps drive awareness of delivery progress, trends and changes to the internal and external business environment to help Audit teams make informed dynamic audit plan and risk based decisions.

• Partner with a cross-functional team of auditors, AuditHQ associates, product managers, tech engineers, and design professionals to investigate, build and implement new processes, technologies and innovation to advance audit plan management and governance and drive continued simplicity, automation and efficiency.

• Develop and measure Internal Audit key performance metrics in alignment with professional standards, regulatory requirements and expectations of the Audit Committee and senior management. Facilitate aggregation of key performance metric results for senior management and Audit Committee reporting.

• Leverage systems, data and analytical tools to execute tasks and perform analysis with a focus on data quality and integrity. Assist team in developing visualizations of data for management and Audit Committee reporting.

• Assist with maintenance of the AuditBoard system in support of users (project creation, hierarchy updates, deployment, configuration updates, etc.) and help drive forward functionality enhancements to address stakeholder needs.

• Establish and maintain good client relations within and outside the department.

• Effectively review and compile information and management reports into concise audit communications and presentations with clarity on key insights and actions. Communicate (e.g. verbally and written) the results of audit processes and projects and complex results and implications to various stakeholders.

• Manage timely and quality delivery of multiple tasks, including regulatory requests, recurring deliverables, presentations, management reporting, special assignments, and administrative activities. Self-prioritize and independently drive deliverables to completion, successfully navigating across teams and departments. Demonstrate the ability to successfully meet deadlines.

• Supervise and coordinate work assignments amongst team members. Provide timely feedback, on-the-job training, and coaching to audit staff and direct reports.

• The Senior Manager will be responsible for maintaining all organizational and professional ethical standards.

Here's what we're looking for in an ideal teammate:

• Exhibits a proven track record of process management, bringing the ability to quickly put structure in place to manage the work.

• Adapts to change, embraces bold ideas, and is intellectually curious. Likes to ask questions, test assumptions, and challenge conventional thinking.

• Leverages the power of data analytics and further your technical skills to build a rich understanding of data, innovation, and technical knowledge.

• Demonstrates outstanding communication and partnership skills which are essential for interacting and communicating with key stakeholders across all levels to manage, inform, and influence outcomes.

• Demonstrates learning agility to adapt to changing demands.

• Displays strong consulting and collaboration skills.

• Possesses a continuous improvement mindset and openness to new initiatives as well as demonstrates critical thinking.

• Exhibits a relentless focus on quality and timeliness.

• Creates energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.

• Experience planning ahead and managing time effectively

• Excellent written and verbal communication

• Excellent organizational skills

Basic Qualifications:

• Bachelor's Degree or military experience

• At least 7 years of experience in auditing, risk management, data analytics, project management, or a combination

• At least 2 years of experience in people management

Preferred Qualifications:

• Professional certification such as Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Information Systems Auditor (CISA)

• 4+ years of experience in people management

• 3+ years of experience in financial services

• 1+ years of experience performing industry research or data analysis in support of internal auditing

• Proficient in MS Office or Google Suite

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

This role is hybrid meaning associates typically spend 3+ days per week (Monday - Thursday) in-person at one of our offices listed on this job posting. Fridays are enterprise-wide virtual work days.

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 Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).