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Senior Associate, Financial Controls & Testing

Capital One
Richmond, Virginia, United States
Closing date
Apr 16, 2023

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Job Details

West Creek 1 (12071), United States of America, Richmond, Virginia

Senior Associate, Financial Controls & Testing

Capital One is seeking a motivated professional to join the Finance Risk Management (FRM) team as a Senior Analyst.

The Senior Analyst performs a key role within Capital One's line of defense risk management model, to help ensure corporate initiatives and departmental processes comply with applicable laws, regulations, business requirements and controls.

Specifically, this position will builds and execute tests across various Finance Lines of Business (LOBs) - a basic understanding of regulatory requirements and controls as applied to business processes is expected .

Responsibilities will also include:

● Lead multiple meetings with LOBs (i.e. Kick-Off meetings to set testing expectations, walkthroughs to better understand the design and execution of controls, deliver test results to the LOBs, etc.)

● Establish and maintain effective engagements with Risk Advisors and LOBs to provide business value through robust and effective assessments of the control environment

● Perform control tests of Design Effectiveness and Operational Effectiveness across multiple LOBs and document test results in accordance with the Enterprise Control Standard methodology

● Assess business process adherence to applicable laws, regulatory requirements, business requirements and controls

Basic qualifications:

● Bachelor's degree or military experience

● At least 2 years of experience in Control Testing, Auditing or a combination

Preferred qualifications:

● 3+ years of experience in Control Testing or Auditing

● 3+ years of experience in Risk Management or Regulatory Compliance

● 3+ years of experience in the Finance Services industry

● Working knowledge of and ability to use Google Suites or MS Office applications

● Strong critical thinking, and problem-solving skills; effective communication and collaborative abilities

● Ability to work independently and flexible to change in a fast-paced environment that requires the balancing of competing priorities

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).


We Don’t Only Think Big Things—At Capital One, We Do Big Things.

You’re dedicated to your career. You deserve professional satisfaction and personal fulfillment. You belong at Capital One.

Here, every day brings another chance to do impactful work that matters: helping millions of customers confidently manage their money, building stronger communities and delivering truly disruptive tech. You’ll give your all alongside some of the brightest, most resilient people in the industry—and in return, you’ll enjoy the growth opportunities, support, flexibility and benefits you need for an exhilarating life both on and off the job.

Be inspired. Be yourself. That’s #LifeAtCapitalOne.

Creating a Culture of Belonging

At Capital One, we value diversity, inclusion and belonging at our core. We’re building a place of belonging—where everyone can feel seen, heard, valued and free to be their authentic selves. We want to be a place of opportunity—where associates from all backgrounds innovate for our customers and communities, and build meaningful, fulfilling careers.

We endeavor to be a welcoming and inspiring place for all. We seek and embrace diversity. And we’re committed to having a diverse and inclusive workforce, focused on increasing the representation of underrepresented groups, strengthening our culture of inclusion and belonging and harnessing our scale to invest in our communities.

We’re focused on three core principles to advance diversity, inclusion and belonging across Capital One:

Create a culture of belonging where everyone can thrive and innovate

Attract and develop talent from all backgrounds and experiences

Ensure our systems and programs promote fairness and equity

Get a career with more at Capital One.  Discover it for yourself today.

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, sexual orientation, gender identity, protected veteran status, disability or other protected status.


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