Principal Associate Compliance Tester Risk Management

Capital Ones Card Risk organization is responsible for core areas that span Risk Management Strategy Operations Technology and Analytics. This organization leads advises and innovates on top transformational initiatives across the Card business. Specifically the Process Excellence Team within Card Risk is leading a multiyear transformational Well Managed journey focusing on Strengthening US Cards Control Ecosystem Enabling Ownership & Accountability through Transparency Amplifying Simplification & Automation and Driving Sustainability.

The Card Risk Process Excellence Team is currently hiring for a Principal Associate (PA) that will take our Well Managed transformation to the next level in our testing program furthering the topnotch brand that Card Risk has built. This PA will be responsible for the of the Design Effectiveness controls testing for Card in alignment with the Enterprise Control Standard and the Process Management and Controls Framework ensuring unassailable and appropriate evaluation of effectiveness of control activities. As a key member of the Well Managed Program this role will collaborate with smart and passionate leaders to deliver results that have a direct impact on the companys bottom line.

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 wellrounded 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 and oversight; project and program delivery; change resiliency to maintain momentum in a dynamic fastpaced 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 gamechanging 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 writeup 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 crossfunctionally with program customers and program assessors to provide strategic and tactical thoughtpartnership 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:

• Bachelors 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

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

The minimum and maximum fulltime 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 parttime roles will be prorated based upon the agreed upon number of hours to be regularly worked.

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 candidates offer letter.

Capital One offers a comprehensive competitive and inclusive set of health financial and other benefits that support your total wellbeing. Learn more at theCapital One Careers website. Eligibility varies based on full or parttime status exempt or nonexempt status and management level.

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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).