Principal Auditor, Bank Operations Job
Capital One - Wilmington, DE

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Principal Auditor, Bank Operations-720629

Level: Principal

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. CAS 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 auditor role will execute on assigned components of audit, assist in designing or tailoring audit programs, execute appropriate tests for existing controls, complete other audit related tasks, and requires a moderate level of guidance and or supervision from the auditor-in-charge or engagement manager. This position is located in downtown Wilmington, DE.


- Develop an understanding of operations of moderate complexity in order to assess risk and test control effectiveness.

- Execute internal control testing, including: designing audit procedures, documenting operational processes and procedures, reviewing and analyzing evidence of compliance, documenting work performed, identifying issues, forming conclusions on control design and effectiveness and drafting audit findings for inclusion in audit reports.

- Prepare clear, organized and complete documentation to support work performed.

- Understand the broader context and implications of the various types of risk affecting the business (e.g., financial, legal, reputational, etc.).

- Establish and maintain good client relations during engagements.

- Identify expectations of the client and take actions to support the client experience.

- Self prioritize and effectively plan own work activities managing multiple priorities and tasks across the team to deliver quality results.

- Coordinate with others and proactively take on additional work.

- Deliver appropriate, succinct and organized information, tailoring communication style to audience.

- Effectively communicate information, issues and audit progress to teammates, clients and auditor-in-charge.

Basic Qualifications:

- Bachelors Degree in Accounting, Finance or related field or military experience
- 3 years of Bank operational audit experience
- At least 1 year of experience in Microsoft applications
- Have or working towards a professional certification in any of the following: CPA, CIA, CBA, CFSA or CISA

Preferred Qualifications:

- Certification in any of the following: CPA, CIA, CBA, CFSA or CISA
- Bachelors Degree in Accounting, Finance or related field
- Experience at a major bank or financial institution
- Experience at a major public accounting firm
- Project management experience
- Experience auditing large, complex projects
- Willingness to question the status quo

Job : Audit, Risk Management and Security
Primary Location : United States-Delaware-Wilmington-New Castle-Wilmington Plaza (18222)
Schedule : Full-time
Travel : Yes, 10 % of the Time

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About this company
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Capital One Financial Corporation, incorporated in July 21, 1994, is a diversified banking company focused primarily on consumer and...