Senior Manager

Center 1 (19052), United States of America, McLean, Virginia

Senior Manager, Audit Operations and Reporting - Regulatory Relations

Capital One’s Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organization’s Audit Committee. Audit professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile 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 to think strategically about how we govern Audit methodology, provide oversight of department performance and operations and optimize processes across the functions in Audit. In addition, the Senior Manager will serve as a liaison with the Regulatory Relations team and be responsible for managing critical projects across the Audit organization. 

Audit Operations and Reporting is an internal support team that works to drive industry-leading audit practices that enable a dynamic approach to assurance and operations and respond to 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, managing operational reporting and coordinating regulatory responses. The Audit Operations and Reporting function includes, Audit Universe and Plan, Risk Assessment, Continuous Monitoring, Skills Assessment, Issue Management and Trending, Govt. Relations and MRA Validation.

General Responsibilities:

• Manage and coordinate regulatory exams and requests across the Audit organization including organizing responses, meetings and workflow of reviews.

• Manage relationships with partners in Regulatory Relations, and provide routine status updates to key stakeholders, including Audit Leadership and the Audit Committee.

• Manage the Matters Requiring Attention (MRA) governance forums including obtaining, reviewing, and validating materials, and leading the discussions with leaders across the Audit department.

• Oversee Audit issue management through the lifecycle from creation, management remediation, Audit validation and closure. 

• Proactively monitor the audit universe and plan for changing risks and maintain awareness of changes to the internal and external business environment.

• Track, monitor and report on open MRAs and Audit issues as well as Audit’s progress in completing the Audit Plan.

• Facilitate the annual and ongoing Audit Skills assessment process and SME Program maintaining quality data and developing associated reporting and ongoing monitoring dashboards for management.

• Design and execute efficient internal operational processes. Develop and maintain related methodology, guidance and governance documentation. 

• 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. 

• Collaborate with various Audit HQ Leaders, LOB Audit teams, Audit Chief of Staff and support partners on various cross functional and business critical efforts on behalf of AOR.

• Monitor Audit communication channels including email, slack, internal webpages to provide responses to department questions and requests and manage processes for proactively sharing of information with stakeholders.

• Help to establish and monitor team Goals, Objectives and Key Results, and report out results and achievements, next steps, and support required at an executive level.

• Support change management, and monitoring of team operations to ensure we remain well-managed and consistent in our processes and monitor execution of AOR owned internal controls.

• Oversee team governance structure and operating model including resource planning, Audit Team interaction model, project/initiative tracking and prioritization (i.e. managing backlog, identifying and resolving blockers and cross-team dependencies) for Government Relations and Operations Management.

• Define and execute Government Relations and Operations Management routines, including, but not limited to administration of strategy meetings, team ceremonies, and other team gatherings.

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

The person will:

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

• Adapt to change, embrace bold ideas, and be intellectually curious.

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

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

• Demonstrate learning agility to adapt to changing demands.

• Display strong consulting and collaboration skills.

• Possess a continuous improvement mindset and openness to new initiatives as well as demonstrate critical thinking.

• Exhibit a relentless focus on quality and timeliness.

• Possess a passion for coaching and investing in the betterment of your team. Lead through change with candor and optimism.

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

Basic Qualifications:

• Bachelor’s Degree or Military experience

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

• At least 2 years of experience in people management 

Preferred Qualifications:

• 9+ years of professional work experience

• 3+ years of experience in Process Management, Risk Management, Product Management, or a combination

• At least 4 years of experience in people management

• Proficient in MS Office or Google Suite

• Experience planning ahead and managing time effectively

• Excellent written and verbal communications

• Excellent organizational skills

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 about half of their time (2-3 days per week) in-person at one of our offices listed on this job posting. Monday and Fridays are enterprise-wide virtual work days. Tuesday, Wednesday, and Thursday are in-person days for associates to spend time together working in our beautifully- designed team areas.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

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 [email protected]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

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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).