Principal Associate - Regulatory Practices Validation and Quality Assurance Team

    • McLean, VA

West Creek 4 (12074), United States of America, Richmond, 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 - Regulatory Practices Validation and Quality Assurance Team

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.

As Capital One evolves to meet the ever changing technology landscape, so do our Risk professionals. The Regulatory Practices Validation and Quality Assurance team is seeking a dedicated and disciplined professional who excels in a collaborative environment, with a high degree of ownership and autonomy. This person will have excellent communication and influencing skills, strong analytical and organizational skills and be technologically adept.

We're creating a dynamic and innovative work environment to enable associates to use their experience and expertise to drive important audit and regulatory work with high priority deliverables. This role will allow you to partner with peers and senior leaders throughout the Enterprise to drive the best outcomes for Enterprise Services audit and regulatory engagements. A successful candidate will have experience in audit engagements, quality assurance reviews, basic project management and executive level reporting.

Responsibilities

  • Performing independent quality assurance reviews, first line of defense challenge and providing critical feedback over audit and regulatory findings
  • Reviewing business management responses and action plans to ensure comprehensiveness, responsiveness and sustainability
  • Ensuring appropriate closure of action plans developed in response to previous reported findings
  • Working closely with business and information technology colleagues across lines of business' as issues emerge and reporting them timely to management and other stakeholders
  • Assist with preparation of written reports and oral presentations to communicate identified issues and recommended remediation actions
  • Developing recommendations to strengthen internal controls and improve operational efficiency, where appropriate
  • Develop understanding of the broader context of implication of regulatory reporting risks affecting the company
  • Maintain governance and oversight of Audit and Regulatory reporting to provide senior management with transparency on identified thematic issues, potential issues, issue/action plan management and remediation
  • Provide strategic advice and regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.
  • Understand evolving industry and regulatory changes, and analyze impact to business objectives, processes, and compliance
  • Participates in risk forums and contributes to continuous improvement of risk management practices
  • Sets direction, manages expectations and leads cross-functional teams


Skills
  • Proficiency in information security, including policies and standards, risk and control assessments, access controls, regulatory compliance, technology resiliency, risk and control governance and metrics, incident management, secure systems development lifecycle, vulnerability management and data protection
  • Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex audit & regulatory business issues
  • Meet aggressive deadlines and pivot effectively between multiple projects
  • Thought leader in providing guidance to businesses and supporting functions in implementing risk management practices
  • Ability to organize and present data in a meaningful way, including analyzing and summarizing detailed information from various sources
  • Strong written, communication, and presentation skills, including the ability to liaise with and influence senior subject matter experts


Basic Qualifications:
  • Bachelor's Degree or military experience
  • At least 1 year of Technology, or Audit experience
  • At least 1 year of experience in information systems auditing or in information systems risk management
  • At least 1 year of experience in IT project management or in systems development
  • At least 1 year of experience in leading audits and performing in the role of auditor-in-charge

Preferred Qualifications:
  • Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), or Certified Information Security Manager (CISM)
  • 2+ years of Financial Services Compliance
  • 2+ years of Risk Management experience
  • 1+ years of conducting audits of controls in cloud-based environments
  • 2+ years of experience with IT control frameworks
  • 2+ years of experience performing data analysis in support of internal auditing


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


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