Senior Associate, Technology SOX Controls Testing & Automation (ES Risk)

Senior Associate, Technology SOX Controls Testing & Automation (ES Risk)

As a Senior Associate in Capital One’s Enterprise Services (ES) Core Risk, you will apply your risk management skills to the company’s Technology organization. You will partner across Enterprise Services, Divisional CIO, and Information Security teams to develop and support best-in-class industry risk solutions in a manner that supports innovation and protects our customers, shareholders and associates. 

As a member of the 1st line controls testing team, you will collaborate with Capital One’s external auditor to test processes and control environments, report results, and evaluate Sarbanes Oxley (SOX) controls within the Technology organization. Your contributions will drive insight into risk and control performance, and organizational change through risk identification, measurement, analysis and reporting to enable better management of technology risks in an open and collaborative environment.

The Technology SOX and Automation Team, within Enterprise Services Core Risk Controls Governance and Testing (CGT), is seeking an experienced, highly motivated Technology Controls Risk Senior with a clear understanding of requirements, controls, and testing methodologies necessary for this role. The ideal candidate will have strong organizational and program management skills to ensure impediments, issues, and timelines are met.  

In addition, the ability to clearly communicate results is imperative in this role. This will be an exciting role in a dynamic and fast-paced environment requiring the ability to multi-task and prioritize assignments appropriately. In this role, the associate will have the opportunity to learn new technologies, develop relationships with partners across technology divisions, and materially contribute to process enhancements to reduce risk. 

Responsibilities:

• Project manage overall SOX schedule to meet defined timelines

• Communicate findings to stakeholders and external auditors

• Perform independent control testing activities and document results when needed

• Support dashboarding on control performance

• Establish and maintain relationships during testing engagements

• Provide guidance, expertise, and assist in the coordination of the Tech SOX program

• Provide subject matter expertise in on-going improvements to control design, process improvements and remediation of ineffective controls

• Help oversee and manage the Technology SOX testing and walkthrough

• Work closely with SOX partners in the development of controls to mitigate technology risks

• Coordinate remediation deficiency analysis for ineffective controls

• Ability to communicate effectively with people across multiple levels

• Ability to negotiate and influence results without direct authority

• Execute tasks assigned by manager to deliver on team objectives
   

Basic Qualifications: 

• At least 2 years of experience in project or process management

• At least 2 years of experience in IT Risk Management

• At least 3 years of experience with Sarbanes-Oxley Controls

Preferred Qualifications:

• 2+ years of experience in testing technical controls in financial institutions

• 2+ years of experience in requirements evaluation

• 2+ years of experience in risk mitigation or corrective actions

• 2+ years of experience in testing internal controls

• 1+ years of experience with AWS, GCP, or Azure cloud technologies

• Security certifications such as CISA, CRISC, or CISSP

• Certifications such as AWS, GCP, or Azure

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

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: $109,000 - $124,400 for Sr. Assoc, Cyber Risk & Analysis

 

Richmond, VA: $99,100 - $113,100 for Sr. Assoc, Cyber Risk & Analysis

 

 

 

 

 

 

 

 

 

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 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. 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.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

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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).