Principal Analyst, Capital Markets & Risks

About the role

Capital One's Sarbanes-Oxley (SOX) Advisory team in Finance Risk Management (FRM) is a dedicated group of professionals focused on delivering top-quality external reporting risk advisory services. They leverage a detailed understanding of the full end-to-end risk management and controls process to advise on Sarbanes-Oxley (SOX), the associated risk and control environment, and identify opportunities to further strengthen the financial reporting environment to meet industry, auditor, and regulator expectations.

Responsibilities

• Lead one or more lines of business through our robust approach to risk management including scoping, risk assessment, control design, testing, deficiency analysis, reporting and quarterly certifications
• Liaise between business process performers, risk offices, internal auditors, external auditors and accountable executives and communicate identified risks or issues and recommended remediation actions to these stakeholders
• Collaborate with partner teams on issues and events investigation, root cause analysis and suggested remediation actions for teams/programs supported and provide guidance in remediating process breakdowns through problem solving and connecting the dots to engage proper stakeholders
• Support and facilitate Process Level Risk Assessments across business partner teams
• Provide risk advisory support for major projects and initiatives across one or more lines of business and horizontally across Finance
• Partner closely with 1st line business teams (Controller's, Card, etc.) as well as 2nd line oversight (e.g. Enterprise Risk Management, Operational Risk Management and Corporate Compliance teams) to provide tailored risk support for various initiatives and projects
• Support the Regulatory Change Management process cross-functionally, ensuring proper socialization and careful consideration has been given to applicability and potential impacts
• Support technology and business transformation, including assessing potential control changes that may be required to enhance our financial reporting and risk management practices
• Perform analysis, capture and report control performance metrics and assist in preparing quarterly stakeholder reporting
• Interpret and communicate program and control information to senior leadership, including identified risks or issues and recommended remediation
• Develop a high level of knowledge around reporting compliance, risk management, and evolving industry changes and understand the broader context of implication of reporting risks affecting the company

Qualifications

Basic Qualifications:

• Bachelor's Degree or military experience
• At least 3 years of experience in Accounting, Financial Reporting, Internal Controls, Audit, or a combination

Preferred Qualifications:

• 4+ years of experience in Auditing and Control Evaluations
• 3+ years of experience in SOX controls at a Big Four Accounting Firm
• Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or equivalent certification

Pay

McLean, VA: $131,300 - $149,800 for Principal Analyst, Capital Mkts & Risk. Candidates hired to work in other locations will be subject to the pay range associated with that location. This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI).

Schedule

This role is expected to accept applications for a minimum of 5 business days.