Principal Risk Specialist

Capital One Group; McLean (VA); Hybrid; USD 121,000 - 138,000; Full time

Job summary

Capital One is seeking a Principal Risk Specialist to oversee technology risk and SOX controls within the TSG team. You will ensure controls operate effectively, provide risk consulting, and drive improvements across the enterprise.

The role emphasizes collaboration with control stakeholders, process optimization, and strong project management across multiple lines of business. The position requires a Bachelor's degree or military experience and 3+ years in IS risk management, IT audit, or IT

Qualifications

• Bachelor's Degree or Military experience.
• At least 3 years of Information Systems Risk Management, IT Audit, or IT Compliance experience.
• Preferred: 4+ years in IS Risk Management and IT Compliance.
• Experience in Financial Services or highly regulated environments.
• Certifications such as CISA, CRISC, CISSP, CISM or CPA.
• Sponsorship for employment authorization not offered for this position.

Responsibilities

• Control Governance: Own the operational oversight of tech controls and provide risk consulting for assigned controls portfolio.
• Control Maintenance: Oversight on control design and effective challenges to maintain controls for internal/external testing.
• Testing Readiness & Support: Pre-assessments of Tech SOX controls to determine sufficiency and effectiveness before formal testing.
• Issues Management: Consult and challenge identified issues, assess impact, plan remediation, and close issues.
• Strategic Delivery: Contribute to continuous process improvement in technology risk and control domain.

Skills

Risk Management

IT Audit

IT Compliance

Project Management

SOX Regulations

Cloud Services

Regulatory Compliance

Education

Bachelor's Degree or Military experience

Job description

Principal Risk Specialist

Principal Risk Specialists at Capital One are highly motivated risk management professionals with excellent project management and communication skills. They have a high level of exposure across lines of business and the opportunity to work with control stakeholders of various levels to create and implement innovative solutions to identify and mitigate potential risks to the Company. As a Principal Risk Specialist in Capital One’s Technology SOX Governance (TSG) team, you are responsible for ensuring controls that support Technology critical processes are in compliance with both internal and external regulatory requirements. You will be performing/supervising routine technology risk and control activities while also working across the enterprise to develop and implement strategic technology risk management solutions that ensure Capital One’s continued stability and success.

Primary Responsibilities

• Control Governance: Ensure assigned Tech controls are operating effectively and as designed/intended. Own the operational oversight adhering to appropriate policies/standards and provide risk consulting for assigned controls portfolio.
• Control Maintenance: Provide consultation and oversight on control design, perform effective challenges on control design, and help maintain effective controls for both internal and external testing.
• Testing Readiness & Support: Perform preassessments of Tech SOX controls to determine sufficiency of processes and effectiveness of execution prior to formal testing evaluation.
• Issues Management: Responsible for providing consultation and effective challenge of identified potential issues, and accountable for impact assessment, remediation plan and issue closure.
• Strategic Delivery: Directly contribute to continuous process improvement initiatives by identifying solutions that drive efficiency and optimization within the technology risk and control domain.

Basic Qualifications

• Bachelor's Degree or Military experience
• At least 3 years of Information Systems Risk Management, IT Audit, or IT Compliance Experience

Preferred Qualifications

• 4+ years of Information Systems Risk Management, IT Audit, or IT Compliance Experience
• 4+ years of Project Management experience leading cross functional projects and programs in Risk
• 3+ years of experience working with Sarbanes-Oxley (SOX) regulations
• Experience working within a Financial Services institution or highly regulated environment
• 1+ years of experience with AWS, GCP, Microsoft Azure, or another cloud service
• Certifications such as Certified Information Systems Auditor (CISA), Certified in Risk and Information Systems Control (CRISC), Certified Information Systems Security Professional (CISSP), Certified Information Security Manager (CISM) or Certified Public Accountant (CPA)
• At this time, Capital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position (e.g. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-3, and O-1, or any other forms of work authorization that require immigration support from an employer).

Location & Salary

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: $120,800 - $137,900 for Principal Risk Specialist
• New York, NY: $131,800 - $150,500 for Principal Risk Specialist
• Plano, TX: $109,900 - $125,400 for Principal Risk Specialist
• Richmond, VA: $109,900 - $125,400 for Principal Risk Specialist

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.

Benefits

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.

Other Information

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.

Equal Opportunity

Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.

Drug-Free Workplace

Capital One promotes a drug-free workplace.

Criminal Background

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.

Accommodations

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 [e-mail]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

Recruiting Process Support

For technical support or questions about Capital One's recruiting process, please send an email to [e-mail].

Location Entities

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).

Company Overview

At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit.