Principal Associate, Controllers Risk and Governance

McLean 1 (19050), United States of America, McLean, Virginia

At Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Principal Associate, Controllers Risk and Governance

As a Principal Risk Associate you will have responsibility for partnering with associates within and outside the Risk Management community to ensure effective risk management and to provide insights to leaders across the Controllers organization, as we seek to make risk management a competitive advantage. You will have the opportunity to lead in a Risk role, partnering with Finance leadership, 2nd line Risk Offices and process owners while gaining exposure to multiple business units across the Controllers organization. You will also learn more about Enterprise Risk Management and Control Programs so that you will be able to lead and implement risk and control tools, techniques, and frameworks for the Controllers organization. This includes assistance in proactive identification and assessment of potential risks and issues, providing context and problem solving advice to process owners and leadership to improve risk management, and working closely with teams, Audit, and process owners to ensure that practices align with applicable compliance, regulatory requirements and expectations.

Job responsibilities include (but are not limited to):
- Engage, inform, and influence Accountable Executives (AE) and Process Owners through interactions addressing; risk metrics, emerging risks, internal audit, regulatory exams and upcoming requests/deliverables
- Manage Issues and Events in the system of record for process breakdowns occurring in the AE's domain
- Serve as a point of contact for AEs for effective challenge and consultation on:
- Operational readiness for new initiatives
- Other risk management activities; including Policies, Standards, and Procedures, Business Continuity Plans, End User Computing (EUC), and Enterprise Regulatory Reporting (ERR)
- Interact with the Finance Risk Office on Internal Audit preparation work
- Provide effective challenge and oversight of management responses, and remediation of findings, in addition to ongoing engagement monitoring
- Review of requirements and controls
- Participate in Risk and Controls Self-Assessments, focusing on identification of potential blind spots and proactive risk management
- Partnership with peers and working with process owners to ensure all risk management Control Program requirements are managed and up- to- date
- Involve in projects that are leveraging automation to improve processes and functions
- Adapt to changing technology and data transformation efforts to drive efficiency in the risk management space

Basic Qualifications:
- Bachelor's Degree or military experience
- At least 3 years' work experience in a Finance, or Compliance/Risk, or Audit role

Preferred Qualifications:
- 5+ years' Banking industry experience within Compliance, Audit, Legal, or Risk Management
- Strong track record of building relationships and establishing effective processes to address complex issues
- Knowledge of Accounting and Finance processes and practices
- Master's Degree or CPA
- Risk Management or Audit Certification

At this time, Capital One will not authorize sponsorship for a new applicant for this position.


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