Manager - SOX Advisory Team
Our SOX Finance Control Associates are masters of SOX principles with flawless understanding of the full end-to-end risk management and controls process. As a Manager, you will be surrounded by intellectually curious professionals every day, all with the end goal of creating a seamless, well managed client experience. Capital One can provide an environment where you can excel in your career while still maintaining a work life balance that others will desire. 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.
You and Capital One – Better. Together.
Responsibilities: ****
- Lead the execution of SOC1 engagements performed by our external auditors for our global payment network business.
- Assist in guiding multiple customer stakeholders through our robust risk management framework including planning, scoping, risk assessment, control design, testing, deficiency analysis, reporting and certification.
- Design, develop, and manage project plans and delivery roadmaps in a complex dynamic environment.
- Effectively manage scope, schedule, resources and budget and communicate status, impediments, and risks/issues.
- Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions, and develop audit programs to ensure adequate coverage of risks.
- 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.
- Partner with project stakeholders to provide strategic and tactical recommendations in support of project delivery.
- Interpret and communicate program and control information to various stakeholders including identified risks or issues and recommended remediation.
- Drive solutions to complex problems across cross-functional teams by applying sound business judgment to navigate trade-offs between competing priorities.
- Monitor and advise on SOX testing by auditors, risk offices and contractors.
- Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditors.
- Engage in cross functional initiatives to address emerging risks identified internally or by our regulators by leading the risk assessment and establishment of control enhancements to our ICFR framework.
- Assess process and technology change initiatives and collaborate with the various risk offices to ensure a well-controlled process.
- Manage own workload to goal oriented priorities; consistent delivery of timely, error free work.
- Establish a reputation for ability to deliver on commitments and support team strategic goals.
Basic Qualifications:
- Bachelor's Degree or military experience
- At least 5 years of experience in SOX, audit, information technology risk management, financial reporting risk management, or a combination
****Preferred Qualifications: ****
- Master’s Degree in Business Administration, Accounting, or Finance
- Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA) certification
- 6+ years of experience in Auditing or Control Evaluation
- 6+ years of experience in SOX controls
****At this time, Capital One will not sponsor a new applicant for employment authorization for this position. ****
This role is hybrid** **meaning associates typically spend 3 days per week in-person at one of our offices listed on this job posting.
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.
McLean, VA: $164,800 - $188,100 for Manager, Capital Markets & Risk
Richmond, VA: $149,800 - $171,000 for Manager, Capital Markets & Risk
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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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).