Senior Associate, Finance Risk Management - Control Tester

Capital One
McLean, Virginia
Nov 09, 2021
Dec 08, 2021
Full Time
Center 2 (19050), United States of America, McLean, Virginia

Senior Associate, Finance Risk Management - Control Tester

Capital One is seeking a motivated professional to join the Finance Risk Management (FRM) team as a Senior Analyst. As a member of FRM, the Senior Analyst will play a key role in executing robust and proactive risk management programs, partner with and influence key stakeholders to achieve business value while ensuring Finance is operating within enterprise risk management frameworks, and enable a strong culture of risk management that's adaptable to a changing environment.

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. This position is responsible for developing and performing independent testing of controls accurately and timely in adherence with the Enterprise Control Standard methodology. The role builds and executes tests across various Finance Lines of Business (LOBs) and a basic understanding of regulatory requirements and controls as applied to business processes is expected. The Senior Analyst partners with numerous stakeholders and subject matter experts to support FRM's overall objective of ensuring the Finance Division maintains an effective risk and control management environment.

  • 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
  • Understand regulatory and business process environment changes and the impact of those changes to current and upcoming tests
  • Be resilient, open and have the ability to adapt to change effectively and efficiently

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

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.

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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