Senior Associate, Risk Control Assessment Specialist

2 months ago

Richmond, United States Capital One Full time
Recruiting: VA - McLean, United States of America, McLean, VirginiaSenior Associate, Risk Control Assessment Specialist - Hybrid

Location: Richmond or McLean, VA – Hybrid

Level: Senior Associate 

The Business Cards & Payments (BC&P) organization is committed to fueling the courageous entrepreneurial spirit that's at the heart of America's business owners and offer products and services to help them do more business. 

We’ve built an organization that is focused on listening to and learning from the millions of business customers we serve every day to make sure our products, services and experiences work as hard as they do. The name of our organization reflects our current leadership position in Small Business and Commercial Cards - as well as our aspiration to serve a wide range of needs for our customers 

Beyond the Card. We are a culture that dreams big and embraces an entrepreneurial and ownership spirit - just like our business customers. 

As Senior Associate in Capital One’s Business Cards & Payments organization, you will work with business partners to identify, manage, and mitigate risk to Capital One. In BC&P Risk Operations we are seeking an experienced, highly motivated Control Assessments Specialist with a strong proven audit mind-set when it comes to governing control changes and execution verification. The ideal candidate will have good organizational and communication skills. A proven background in evaluation of risks and requirements compared to existing process and control coverage, as well as the ability to identify gaps and solutions for gap closure, including early execution verification to ensure effectiveness. This role involves understanding of risks, requirements, controls, and corrective actions review and evaluation.

Responsibilities of this role include but are not limited to:

Partner with vertical risk managers to perform an analysis of risks and requirements and their association with the control

Ability to develop, update, and execute control execution verification for new and / or changed controls

Ability to understand and communicate complex processes and alignment to policy/regulatory requirements

Establish and maintain good client relations during execution verification engagements

Strong ability to create and deliver verbal and written communications between business partners 

Assist in the planning and execution of control assessments and hygiene

Manage to execution verification schedules to ensure all tasks and reporting are completed within established timeframes, which should include for upcoming 2nd or 3rd line testings

Obtain and analyze control execution data from multiple sources, following testing protocols and leveraging job aids as needed

Systematically retain documents that substantiates control execution verification results

Assist in communicating results to business areas and Risk Management Risk Office leadership as needed 

Building relationships and collaborating with key stakeholders

Furthering the Well Managed agenda within Card to drive sustainability, amplify simplification & automation, enable ownership & accountability through transparency, and strengthen the control ecosystem

Supporting process documentation creation and revision, including version control

Basic Qualifications:

High School Diploma, GED or equivalent certification

At least 2 years of experience in audit, controls testing, or requirements management

Preferred Qualifications:

Bachelor’s degree 

Strong written and oral communication skills

Strong understanding of risks and ability to communicate and evaluate the appropriateness of mitigating activities



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 theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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.

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