Data and Technology Risk Principal Associate, Sarbanes Oxley (SOX) Advisory Team

West Creek 3 (12073), United States of America, Richmond, Virginia

Data and Technology Risk Principal Associate, Sarbanes Oxley (SOX) Advisory Team

 Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #97 on the Fortune 500, Capital One is one of the nation’s top 10 banks and has one of the most widely recognized brands in America. You will be surrounded by intellectually curious professionals every day, all with the end goal of creating a seamless, well managed client experience. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.

 

We are currently looking for a Data and Technology Risk Principal Associate to join our team! Our technology and data risk advisors are masters of risk, data and technology risk management principles with a detailed understanding of how technology supports end-to-end processes and the risks that must be mitigated in the Tech general control environment. Our function is responsible for performing helpful and objective advice to leaders and teams across the enterprise in support of our Sarbanes Oxley program with respect to data integrity and the general technology control environment inclusive of relevant information security controls. 

Responsibilities include: 

• Assist in guiding multiple customer stakeholders through our robust risk management framework including scoping, risk assessment, control design, testing, deficiency analysis, reporting and certification.

• Assist in advising business process performers, risk offices, internal auditors and accountable executives on emerging data and technology risks and communicate identified risks or issues and recommended remediation actions to these stakeholders.

• Support technology and business transformation, including assessing potential control changes that may be required as we embrace cloud capabilities 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 various stakeholders 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.

• May support or perform substantive testing procedures, including, but not limited to, identifying and defining issues, reviewing and analyzing transactional evidence, documenting target area processes and procedures, and recommending remediation.

 Basic Qualifications:

• Bachelor's Degree or military experience

• At least 3 years of technology experience in Internal Controls, or in Data Risk Management, or in Risk Management or in Audit or a combination 

• At least 3 years of experience in identifying and assessing IT general, IT application, data movement and systems implementation controls

 

Preferred Qualifications:

• At least 4 years of experience in Auditing and Control Evaluation

• Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA) or a combination

• AWS Certified Cloud Practitioner or AWS Certified Solutions Architect 

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

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. Capita