Principal Associate, Capital Markets & Risk - Sox

Capital One Capital One · Banking · Richmond, VA +1

This role focuses on Sarbanes-Oxley (SOX) compliance and risk management within Capital One's Finance Risk Management team. The Principal Associate will lead business lines through risk assessment, control design, testing, and reporting, ensuring adherence to financial reporting standards and regulatory expectations. The role involves liaising with various stakeholders, supporting technology transformations, and interpreting program information for senior leadership.

What you'd actually do

  1. 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.
  2. Liaise between business process performers, risk offices, internal auditors and accountable executives and communicate identified risks or issues and recommended remediation actions to these stakeholders.
  3. Support technology and business transformation, including assessing potential control changes that may be required to enhance our financial reporting and risk management practices
  4. Perform analysis, capture and report control performance metrics and assist in preparing quarterly stakeholder reporting
  5. Interpret and communicate program and control information to senior leadership, including identified risks or issues and recommended remediation

Skills

Required

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

Nice to have

  • 3 years of experience in Auditing and Control Evaluations
  • 3 years of experience in SOX controls
  • Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or equivalent certification

What the JD emphasized

  • SOX
  • risk management
  • control design
  • testing
  • reporting