Principal Associate, Capital Markets and Risk

Capital One
McLean, Virginia, United States
Jan 14, 2023
Feb 13, 2023
Full Time
Center 2 (19050), United States of America, McLean, Virginia

Principal Associate, Capital Markets and Risk

The Finance Risk Management team is part of the broader Capital One Finance department. As a Manager on the Finance Risk Management (FRM) team, you will be responsible for working with business partners to identify and consult on potential risks to Capital One. Specifically, this role will advise Balance Sheet Management by applying risk and control standards, ensuring adherence to regulatory and Enterprise requirements, aligning the organization with strategic best practices and cultivating an environment of strong risk management.

Risk Managers at Capital One are highly motivated risk and process management professionals with excellent analytical, organizational, and communication skills. These skills allow the Risk Manager to gain insights, and act as a change agent to influence their business partners. As Capital One evolves to meet the ever-changing technology, regulatory, and business landscape, so do our risk managers.

  • Consults on risk to one or more business partners providing advice and guidance as required
  • Effectively challenges our 1st line of defense business partners and collaborates effectively with 2nd line of defense (Compliance, Legal, Enterprise Risk Management, Operational Risk Management) and 3rd line of defense (Audit and Credit Review)
  • Supports audits, credit reviews, and regulatory exams of our business partners' organizations, as applicable
  • Analyzes information to proactively identify risks, trends, and process improvements; supports reporting on risk topics to management
  • Stays current on the changing regulatory environment and understand the impacts to your businesses
  • Provides oversight and guidance during risk assessments (Processes level risk assessments, etc.)
  • Is a thought leader in providing guidance to businesses and supporting functions in implementing risk management practices
  • Participates in risk forums and contributes to continuous improvement of risk management practices
  • Supports, partners and interacts with internal business clients
  • Sets direction, manages expectations, and may lead cross-functional teams through various initiatives
  • Participate in and execute other special projects for the team on a periodic basis

Basic Qualifications:
  • Bachelor's Degree or Military experience
  • At least 3 years of risk management or process management experience or financial services experience or a combination

Preferred Qualifications:
  • 3+ years of experience in risk management within the banking or financial services industry
  • 3+ years or more of experience in process management
  • 2+ years or more of experience in responding to and interacting with internal audit or regulatory agencies
  • Agile or Design Thinking experience
  • 1+ years experience with Governance, Risk, and Compliance software tools
  • 1+ years experience in controls development, controls management, and reporting activities
  • 1+ years experience in capital markets

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

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.

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.

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 . 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

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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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