Manager, IS Audit
Requisition 738553 www.capitalonecareers.com
– click US Salaried – under Job Number, enter 738553
Location: Plano, TX
Corporate Audit Services, 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.
Capital One is seeking an energetic, self-motivated Manager, IS Audit interested in becoming part of our Corporate Audit Services team. As a member of the IS Audit team, the candidate will lead or support technical audits of IT controls, applications and projects, working closely with members of the IS, operational, and finance audit teams. Additionally, the candidate will lead or conduct audits of key corporate initiatives and programs that are highly diverse and complex, including: business acquisitions and integrations; process change initiatives; new system implementations and conversions; and other enterprise-wide risk management and control related projects. Each audit assignment enables the candidate to demonstrate business, technical and industry knowledge while assessing business risks, identifying key controls, and designing and executing risk-based testing of application and general computer controls. The candidate will also facilitate knowledge sharing of best practices and industry trends to team members, and contribute to thought leadership activities within the IS Audit team. The candidate will work independently, with guidance from Audit management as ne eded. Career development and growth opportunities exist through our established training programs within the Corporate Audit Services team, as well as in IT and business functions. The candidate will be expected to maintain all organizational and professional ethical standards.
- Leads audits or significant components of audits, including infrastructure, application, and project audits. Develops engagement planning documentation to communicate rationale for scoping decisions and develops audit programs to ensure adequate coverage of risk. Communicates audit scope, issues, risks, and recommendations to management in written reports and oral presentations.
- Designs and executes internal control testing for entire audits or components of large audits, demonstrating a degree of audit expertise consistent with experience level. Understands the broader context and implications of the various risks affecting the business across disciplines (Finance, Operations, IT, Compliance, etc.).
- Supervises and coordinates work assignments amongst audit team members. Provides timely feedback and coaching to audit staff.
- Establishes and maintains effective and productive relationships with auditee during engagements as well as other Corporate Audit Services groups. Takes action or guides the audit team to enhance company and department brand.
- Assesses relevancy of audit findings, potential exposures, materiality, improving or deteriorating trends, and integrates “big picture” issues into analysis. Identifies additional risks not previously considered and understands secondary or tertiary issues. Understands business priorities, and anticipates issues and obstacles, incorporating these concepts into risk discussions. Identifies and implements efficiencies in executing test work.
- Manages timely and quality delivery of multiple tasks, including audits, projects, special assignments, and administrative tasks.
- On audit engagements facilitates teamwork, coordinates and leverages available resources to complete engagements on time. Builds and utilizes relationships outside immediate Corporate Audit Services team to improve overall quality.
- Delivers appropriate, succinct, and organized information while tailoring communication style to audience. Effectively compiles relevant, material findings and recommendations into readable and concise audit reports. Communicates complex results and implications, incorporates different perspectives into deliverables. Effectively communicates audit process, scope, protocol, issues, risks and recommendations to auditee during kick-off, periodic status updates, and exit meetings.
- Bachelors Degree or military experience
- 4 years of experience in internal or external auditing, information systems, accounting, financial analysis, compliance risk management, bank examination or other related field.
- 2 years experience in performing audits of technical nature.
- 1 year experience in supervising audit engagements.
- 1 year experience in banking or financial services industry.
- Masters Degree in Auditing, Accounting, Finance, Economics, Information Systems or Business Administration.
- Certified or working toward a professional certification such as a CISA, CISSP, CIA or CPA.
- 6 years of experience in internal or external auditing, information systems, accounting, financial analysis, compliance risk management, bank examination or other related field.
- 4 years experience in performing technical IS audits. Working knowledge of IT control frameworks such as COBIT and COSO, and their application to IT control audits.
- 3 years experience in auditing projects and working knowledge of project management best practices
- 3 years experience in banking or financial services industry. Understanding of financial institution laws, regulations and business processes.
- Demonstrated analytical, critical thinking, and problem solving skills.
- Excellent communication skills, both written and verbal.