Principal Associate, SOX Advisory Team

7 days left

Capital One
McLean, Virginia, United States
Sep 11, 2023
Oct 11, 2023
Full Time
Center 2 (19050), United States of America, McLean, Virginia

Principal Associate, SOX Advisory Team

If you're looking for a fast paced, dynamic and innovative firm founded on a culture of diversity and inclusion that can provide you with a challenging role and long term career development opportunities then read on.

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #39 on the Fortune 500, Capital One is one of the nation's top 10 banks and has one of the most widely recognized brands in America. You will be surrounded by intellectually curious professionals every day, all with the end goal of creating a seamless, well managed client experience. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.

We are currently looking for a Principal Associate to join our team! Our external reporting risk advisor associates are masters of Sarbanes-Oxley (SOX) and Regulatory Reporting principles with a detailed understanding of the full end-to-end risk management and controls process. The function is responsible for performing independent validation of financial and regulatory reporting data integrity and the associated control environment. The team also serves as advisors to identify opportunities to further strengthen the financial and regulatory reporting environment to meet regulatory expectations.


We are seeking a highly motivated professional to join the Sarbanes-Oxley / Regulatory Reporting Quality Assurance (SOX/RRQA) team as a Principal Associate who excels in a collaborative environment and will take ownership of their responsibilities.

This risk management position is focused on controls and risk mitigation of the company's financial SEC and regulatory filings. We are seeking a self-starter responsible for managing multiple priorities.

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 certification
  • Liaise between process performers, risk offices, internal and external auditors and accountable executives and communicate identified risks or issues and recommended remediation actions to these stakeholders
  • Support technology and business transformation, including assessing potential control changes that may be required as we embrace cloud capabilities 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 financial and regulatory reporting, risk management, and evolving industry changes and understand the broader context of implication of reporting risks affecting the company
  • May lead or perform substantive testing procedures, including, but not limited to, identifying and defining issues, reviewing and analyzing transactional evidence, documenting target area processes and procedures, and recommending remediation
  • Other responsibilities as deemed necessary

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:
  • At least 3 years of experience in Auditing and Control Evaluations
  • At least 3 years of experience in SOX controls
  • 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.

No agencies please.

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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