Capital One Principal Associate Compliance Tester Risk Management 

United States, Virginia, Richmond 

659189232

Principal Associate, Compliance Tester (Risk Management)

Core capabilities for this foundational role include a strong collaborative mindset with significant risk management and testing expertise coupled with a balanced approach to driving effectiveness and efficiency to enhance both business and risk management processes and programs. This role requires a well-rounded and seasoned individual who is comfortable adjusting their approach to meet unique needs across multiple stakeholder groups within a complex organization.

Successful candidates will demonstrate a proven track record of controls testing execution and oversight; project and program delivery; change resiliency to maintain momentum in a dynamic, fast-paced and complex environment and among competing priorities; and strong partnership and communication skills to engage and influence critical stakeholders. This role is ideal for someone with strong leadership skills, who can support transformational change and deliver game-changing value. The preferred candidate will have experience working in Compliance and/or Risk Management organizations within a major financial company, with a solid understanding of process management frameworks, risk and control methodology, control testing methodology, and regulatory requirement management and applicability. Experience with automated/hybrid control testing is also a plus.

Responsibilities:

• Supporting end to end testing of controls:

  • Performing proper planning to execute the required test process steps by established deadlines with minimal supervision

  • Assessing Operational and Design Effectiveness of US Card automated/hybrid/manual controls in adherence with enterprise standards and internal US Card requirements for control testing

  • Creating and maintaining adequate testing support documentation such as workpapers, rationale, testing reports, etc. to support the result of reviews including the write-up of findings/issues for reporting

  • Learn/perform code reviews in support of automated/hybrid controls

  • Identifying internal control weaknesses and recommending remediation to strengthen the control environment

• Learn/perform Quality Assurance reviews of completed test workbooks and results

• Partnering cross-functionally with program customers and program assessors to provide strategic and tactical thought-partnership to effectively drive and evolve delivery

• Building relationships and collaborating with key stakeholders

• Furthering the Well Managed agenda within Card to drive sustainability, amplify simplification & automation, enable ownership & accountability through transparency, and strengthen the control ecosystem

• Supporting process documentation creation and revision, including version control

Basic Qualifications:

• High School Diploma, GED or military experience

• At least 2 years of experience in Control Testing or Internal Audit

Preferred Qualifications:

• Bachelor’s Degree

• 3+ years of Financial Services industry experience

• 3+ years of regulatory compliance or credit experience

• 3+ years of Risk Management experience

• 3+ years of automated controls testing experience

McLean, VA: $117,300 - $133,900 for Principal Risk Specialist Richmond, VA: $106,700 - $121,700 for Principal Risk SpecialistThis 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.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

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 . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.