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Senior Audit Manager, Audit Operations and Reporting (Hybrid)

BlueTarp Financial

BlueTarp Financial

Richmond, VA, USA
Posted on Tuesday, July 2, 2024


West Creek 2 (12072), United States of America, Richmond, Virginia Senior Audit Manager, Audit Operations and Reporting (Hybrid)

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. In addition, the Audit vision of providing high value, independent proactive insights and innovating with technology create a dynamic and challenging atmosphere for both personal growth and professional opportunity.

Audit is seeking an energetic, self-motivated Senior Manager to join the Audit Operations and Reporting team. The Audit Operations and Reporting team is responsible for facilitating and governing horizontal Audit administration processes, maintaining well-managed data and developing and managing operational reporting for the department. As a member of the Audit Operations and Reporting team, the candidate will assist in ensuring a well-managed approach to Risk Assessment, Emerging Risk, Continuous Monitoring activities, and Issues Trending, with a focus on the vision of always-on risk assessment to power proactive assurance.


  • Provide day-to-day operational management of the Standard Risk Assessment process, methodology, governance and tooling.

  • Serve as the operational contact for department and regulatory inquiries, consultations and questions around the Risk Assessment process, methodology and tooling.

  • Facilitate department wide Risk Assessment refresh activities (quarterly dynamic changes and holistic annual updates) and associated training.

  • Assist with implementation of the innovation agenda through partnering with product, tech engineers and design professionals to maintain the Risk Assessment Application and develop enhanced technologies and functionality to advance risk assessment and drive continued simplicity, automation and efficiency.

  • Oversee the continuous monitoring process, methodology, governance and tooling helping to reinforce the evaluation of impact within risk assessments and the dynamic plan.

  • Manage emerging risk, including assistance with proactively sourcing/identifying risks, collaboration with owning audit teams, oversight/completion of research/testing, and reporting of results to management and/or Audit executive leadership, as needed.

  • Assess relevance of audit findings, potential exposures, materiality, improving or deteriorating trends, and demonstrate awareness of broader issues. Interpret business priorities, anticipate issues and obstacles, and apply to scope of role. Leverage knowledge and skills, providing the broader department with insight into areas of risk.

  • Establish and maintain strong relationships with key Audit and/or business partners.

  • Facilitate issues trending analysis over Audit identified issues to identify thematic and/or emerging trends, aggregate results, prepare presentation materials and elevate key trends in management and audit committee reporting.

  • Assist in the development and implementation of “always on auditing” testing and assurance approach including establishing the methodology and framework to support our strategic vision for continuous assurance.

  • Manage timely and high quality delivery of multiple tasks, including regulatory requests, recurring deliverables, presentations, management reporting, special assignments and administrative activities. Self-prioritize and independently complete multiple tasks across the team and department. Demonstrate the ability to successfully meet deadlines and identify/escalate impediments in a timely manner.

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

  • 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 reporting.

  • Communicate (e.g. verbally and written) the results of audit processes, projects, complex results and implications to Audit leadership and regulators. Prepare stakeholder communications and presentations (e.g., emails, guidance, slides) to inform, request action, share key risk insights and overall results.

​The Ideal Candidate is:

  • You are passionate about ensuring a well-managed risk environment and understand the criticality of proactive risk identification and assurance.

  • You are a critical thinker who seeks to understand the business and its control environment.

  • 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 possess a relentless focus on quality and timeliness.

  • 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 analytical and a firm believer that a rich understanding of data, innovation, technology and automation can be leveraged to transform the way we work

  • You’re a leader and a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism.

  • You are a good communicator who can present clearly to a variety of elevated audiences (e.g., management, regulators, department-wide).

  • You 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 of experience in auditing, risk management, or a combination

  • At least 5 years of project management experience or at least 5 years of experience managing audit engagements

  • At least 1 year of people management experience

Preferred Qualifications:

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

  • 9+ years of experience in internal or external auditing or risk management, or a combination

  • 3+ years of experience in financial services

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

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

This role is hybridmeaning associates typically spend about half 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.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

New York City (Hybrid On-Site): $172,900 - $197,300 for Audit Sr. Manager

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

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 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

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).