Katherine Wagner

Principal Auditor, Financial Crimes Compliance @Capital One

Responsibilities: Participate in major components of business units and lead small to medium size BSA / AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and perform relevant testing based on the risks and processes associated with the area being audited. Assist in communicating issues, risks and recommendations to all levels of management. Operate independently and ensure work is completed to schedule and meets high-quality standards. Develop and maintain strong and effective working relationships with key business partners and the extended Audit group. Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery. Proactively follow-up on agreed audit actions to ensure management delivers their commitments within the agreed timescales. Proactively seek out learning opportunities to enhance skills and competencies related to role.