Principal, FS Technology Risk Operations and Controls- (Remote Eligible)

Capital One
Plano, Texas
Aug 15, 2022
Aug 20, 2022
Full Time
Locations: TX - Plano, United States of America, Plano, Texas

Principal, FS Technology Risk Operations and Controls- (Remote Eligible)

Capital One Financial Services (FS) Technology Risk Operations and Controls is seeking an energetic, self-motivated Principal Technology Risk Management professional who is interested in becoming part of our team.

Technology Risk Operations and Controls professionals at Capital One are the first line of defense to ensure our Company remains well-managed and profitable. They are highly motivated, experienced, credentialed Risk Management professionals that are forward thinking, quick to adapt, and technologically adept. These skills allow them to gain insights, and act as a change agent to influence technology partners. As a member of the FS Tech Risk Operations and Controls Team, the candidate will focus on reviews of critical technology functions including cloud-based technology, emerging technology, and cybersecurity risks. The candidate will have a high level of exposure across lines of business and have the opportunity to create and implement innovative solutions to appropriately mitigate risks within the Financial Services Technology organization.

  • Support the evaluation of and improvement of the control environment for the Financial Services Technology organization
  • Contribute to the assessment of FS Technology's control environment by verifying the design and operating effectiveness of existing controls as well as identifying and tracking control gaps/issues to remediation
  • Lead meetings with the 1st line independent control testing team to provide an overview of the process narrative and measures implemented for control sustainability
  • Independently perform documentation of processes and process flow diagrams, controls reporting dashboards and controls health monitoring
  • Analyze data to proactively identify risks and trends and prepare reporting for Executive Leadership
  • Understand regulatory requirements and anticipate changes to help ensure proper alignment with internal requirements and frameworks
  • Collaborate with Technology Application Teams, ES Tech Risk, Cyber and other business support functions (e.g., Business Risk Office)
  • Participate in enterprise Tech Risk forums and relevant councils
  • Understand the broader context and implications (e.g., financial, legal, reputational, etc.) of the various types of risk affecting the technology function

Basic Qualifications:
  • Bachelor's Degree
  • At least 3 years experience in Technology or Operational Risk, IT Internal or External Audit, or a combination
  • At least 2 years of experience performing data analysis in support of internal risk assessments and control reviews
  • At least 2 years of experience planning and leading IT audits or risk assessments
  • At least 1 year of experience performing controls testing over cloud-based infrastructure (AWS)
  • At least 2 years of experience in risk and data management

Preferred Qualifications:
  • Professional certification 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 related certifications
  • 5+ years experience in information systems auditing, in information systems risk management, or a combination
  • 4+ years of experience in performing control design and effectiveness testing and completing assessments against established industry risk frameworks, including: the NIST Cybersecurity Framework, COBIT v5, or COSO
  • 3+ years experience performing data analysis in support of internal risk assessments and control reviews
  • Excellent verbal presentation and written communication skills to confidently interact with application teams and enterprise stakeholders
  • Excellent problem-solving, analytical and critical thinking skills to effectively respond to shifting priorities, demands and timelines
  • Consulting experience with a Big 4 firm is a plus
  • Cloud Risk Management experience is a plus
  • Proficient with G Suite / Google Workspace for reports, analysis, and presentations is a plus

Capital One is open to hiring a Remote Employee for this opportunity.

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


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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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.

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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).

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