Principal Analyst, SOX and Risk Advisory

Principal Analyst, SOX and Risk Advisory

Capital One’s Sarbanes-Oxley (SOX) Advisory team in Finance Risk Management (FRM) is a dedicated group of professionals focused on delivering top-quality external reporting risk advisory services.  They leverage a detailed understanding of the full end-to-end risk management and controls process to advise on Sarbanes-Oxley (SOX), the associated risk and control environment, and identify opportunities to further strengthen the financial reporting environment to meet industry, auditor, and regulator expectations.

A successful candidate for this role will have strong critical thinking and analytical skills, be a proactive problem solver with the ability to operate in white space, and have strong communication and presentation skills with the ability to clearly articulate complex topics both orally and written to a wide variety of audiences. The candidate should be a well-organized, self-starter who is comfortable functioning autonomously, taking end-to-end ownership of work streams, ensuring all deliverables are completed timely, and leveraging their subject matter knowledge to synthesize all available information to influence our partners to make grounded, risk-based decisions. 

Responsibilities include: 

• 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.

• Liaise between business process performers, risk offices, internal auditors, external auditors and accountable executives and communicate identified risks or issues and recommended remediation actions to these stakeholders.

• Collaborate with partner teams on issues and events investigation, root cause analysis and suggested remediation actions for teams/programs supported and provide guidance in remediating process breakdowns through problem solving and connecting the dots to engage proper stakeholders.

• Support and facilitate Process Level Risk Assessments across business partner teams.

• Provide risk advisory support for major projects and initiatives across one or more lines of business and horizontally across Finance.

• Partner closely with 1st line business teams (Controller’s, Card, etc.) as well as 2nd line oversight (e.g. Enterprise Risk Management, Operational Risk Management and Corporate Compliance teams) to provide tailored risk support for various initiatives and projects.

• Support the Regulatory Change Management process cross-functionally, ensuring proper socialization and careful consideration has been given to applicability and potential impacts.

• Support technology and business transformation, including assessing potential control changes that may be required to enhance our financial reporting and risk management practices.

• Perform analysis, capture and report control performance metrics and assist in preparing quarterly stakeholder reporting.

• Interpret and communicate program and control information to senior leadership, including identified risks or issues and recommended remediation.

• 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.

Basic Qualifications:

• Bachelor's Degree or military experience

• At least 3 years of experience in Accounting, Financial Reporting, Internal Controls, Audit, or a combination 

Preferred Qualifications:

• 4+ years of experience in Auditing and Control Evaluations

• 3+ years of experience in SOX controls at a Big Four Accounting Firm

• Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or equivalent certification

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: $131,300 - $149,800 for Principal Analyst, Capital Mkts & RiskRichmond, VA: $119,400 - $136,200 for Principal Analyst, Capital Mkts & 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.

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 [email protected]. 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 [email protected]

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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).