Principal Associate, Business Controls Testing (ES Risk)

Principal Associate, Business Controls Testing (ES Risk)
As a Principal Associate in Capital One's Enterprise Services (ES) Core Risk, you will apply your risk management skills to the company's Enterprise Services Business Risk organizations. You will partner across Enterprise Services, Risk Management Partners, Product Managers, and Line of Business teams to develop and support best-in-class industry risk solutions in a manner that supports innovation and protects our customers, shareholders and associates. As a member of the 1st line controls testing team, you will collaborate with other 1st, 2nd, and 3rd line teams to monitor and test processes and control environments, report results, and evaluate compliance with requirements and regulations for the Business Risk organizations within Enterprise Services. Your contributions will drive insight into risk and control performance, and organizational change through risk identification, measurement, analysis and reporting to enable better management of business and technology risks in an open and collaborative environment.
The Business Controls Testing Team, within Enterprise Services' Controls Governance & Testing team, is seeking an experienced, highly motivated Risk and Controls Testing specialist, with strong interest in process maturity and technologies. A clear understanding of requirements, controls, and testing methodologies is necessary for this role. The ideal candidate will be able to design/execute test plans, identify process and control gaps, compose clear and concise findings to document shortcomings, and provide recommendations that strengthen processes and controls. This will be an exciting role in a dynamic and fast-paced environment requiring the ability to multi-task and prioritize assignments appropriately. In this role, the associate will have the opportunity to learn new technologies, develop relationships with partners across divisions, and materially contribute to process enhancements to reduce risk.
Responsibilities:

• Perform independent control testing activities and document results
• Communicate findings and recommendations to stakeholders
• Establish and maintain relationships during testing engagements
• Provide control expertise to stakeholders
• Execute project management tasks to deliver on team objectives
• Collaborate with team members

Basic Qualifications:

• At least 4 years of experience in project or process management
• At least 4 years of experience in Audit or IT Risk Management
• At least 4 years of experience in testing business or technical controls in financial institutions or combination of both

Preferred Qualifications:

• 5+ year of experience with requirements evaluation
• 5+ year of experience with risk mitigation or corrective actions
• Certifications such as CISA, CRISC, CISSP, Scrum Master, or BPM

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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.
Plano, TX: $115,900 - $132,200 for Prin Assoc, Cyber Risk & Analysis
McLean, VA: $127,500 - $145,500 for Prin Assoc, Cyber Risk & Analysis
Richmond, VA: $115,900 - $132,200 for Prin Assoc, Cyber Risk & Analysis
New York, NY: $139,100 - $158,700 for Prin Assoc, Cyber Risk & Analysis
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 the Capital 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.
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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).