Tech Risk & Controls Lead (SOX)

Capital One; Richmond (VA); Hybrid; USD 110,000 - 125,000; Full time

Job summary

Capital One is seeking a Principal Risk Specialist in its Technology SOX Governance team to ensure controls supporting technology processes comply with regulatory requirements. You will supervise risk activities, consult on control design, and drive strategic technology risk solutions across the enterprise.

The role focuses on governance, maintenance, testing readiness, issue handling, and continuous improvement within the technology risk and control domain.

Qualifications

• Bachelor's Degree or Military experience.
• At least 3 years of Information Systems Risk Management, IT Audit, or IT Compliance Experience.
• 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 SOX regulatory experience
• Experience in a Financial Services institution or regulated environment
• 1+ years of cloud experience with AWS, GCP, or Azure
• Certifications such as CISA, CRISC, CISSP, CISM or CPA

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.

Skills

Risk management

IT audit

IT compliance

Project management

SOX

Cloud experience

Regulatory knowledge

Education

Bachelor's Degree or Military Experience

Job description

Capital One is seeking a Principal Risk Specialist in its Technology SOX Governance team to ensure controls supporting technology processes comply with regulatory requirements. You will supervise risk activities, consult on control design, and drive strategic technology risk solutions across the enterprise.

The role focuses on governance, maintenance, testing readiness, issue handling, and continuous improvement within the technology risk and control domain.