Principal Associate, Regulatory & Audit - Enterprise Services Risk

Employer
Capital One
Location
Richmond, Virginia
Posted
Jun 18, 2021
Closes
Jun 23, 2021
Ref
R115075
Function
Finance
Hours
Full Time
West Creek 4 (12074), United States of America, Richmond, Virginia

Principal Associate, Regulatory & Audit - Enterprise Services Risk

As a Principal Associate within the Enterprise Services Risk Regulatory Practices team, you will apply your analytical and delivery skills to our highest profile Audit and Regulatory engagements and projects.

You will partner across ES to develop and support successful, forward-thinking Audit and Regulatory engagements and reporting in a manner that supports innovation, protects our customers, shareholders, and associates, and considers themes, opportunity patterns and scale across the function and enterprise. You will partner with peers and senior leaders, in the first, second and third lines of defense to drive the best outcomes for the ES audit and regulatory engagements in an open, collaborative environment where new ideas and solutions are both welcomed and rewarded.

You will provide proactive and on-going regulatory intelligence to our ES divisions to ensure they remain well-managed, including autonomous coordination and drafting of internal communications and briefs for BAU regulator meetings, attending meetings with regulators, drafting meeting notes, updating regulators on recent developments, updating reporting and ensuring completion of any follow up actions after the meetings.

Enterprise Services Risk team members are experienced, well-trained, progressive individuals operating within a highly collaborative team environment to deliver value-added risk services to our business partners. The successful candidate will be a highly-motivated Risk Management professional with excellent leadership, project management, analytical, planning, collaboration, strategic thinking and communication skills.

Responsibilities:
  • Operating within a highly collaborative team environment, manage time with a sense of urgency to ensure regulatory and audit deliverables are completed within established timeframes
  • Drive consistency and automation in all reporting and processes
  • Monitor corrective action of findings and risks, and ensure implementation by deadlines
  • Provides proactive and on-going regulatory intelligence to the divisions to ensure they remain well-managed.
  • Support regulatory and audit engagement planning, management and reporting across all ES functions
  • Guided by team leadership, participate in audit and regulatory engagements through documentation and quality assurance review of evidence (submitted to the auditors and/or examiners)
  • Assist with documentation on finding remediation efforts (including milestone deliverables and overall finding completion), request list trackers, and evidence
  • Assist with development of status reporting and validation of examination and audit data, including regulatory and audit metrics to senior leadership
  • Identify when there are concerns to deliverables and escalate to team leadership
  • Establish and maintain strong relationships with both team members and customers
  • Identify changes to our ES Risk regulatory processes, as needed
  • Support creation of executive presentations, reports and analyses
  • Support risk management reporting and communications
  • Support development and maintenance of policies and procedures


Basic Qualifications:

  • High School Diploma, GED, or equivalent experience
  • At least 2 years of experience in Project Management or Process Management
  • At least 2 years of Risk Management experience
  • At least 1 year of internal audit or regulatory exam experience
  • At least 1 year of experience working in Agile teams


Preferred Qualifications:
  • At least 3 years of experience in Project Management or Process Management
  • At least 3 years of Risk Management experience
  • At least 2 years of internal audit or regulatory exam experience
  • At least 2 years of experience working in Agile teams
  • Experience working in the fields of technology or cyber


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