IT SOX Risk Principal Associate, SOX Advisory Team

Capital One • Richmond, VA

1d

About The Position

IT SOX Risk 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. We are currently looking for a SOX Technology and Data Risk Principal Associate to join our team! Our technology and data risk advisors are masters of risk, data and technology risk management principles with a detailed understanding of how technology supports end-to-end processes and the risks that must be mitigated in the Tech general control environment. Our function is responsible for performing helpful and objective advice to leaders and teams across the enterprise in support of our Sarbanes Oxley (SOX) program with respect to data integrity and the general technology control environment inclusive of relevant information security controls. Responsibilities include: Assist in guiding multiple customer stakeholders through our robust risk management framework including scoping, risk assessment, control design, testing, deficiency analysis, reporting and certification. Assist in advising business process performers, risk offices, internal auditors and accountable executives on emerging data and technology risks 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 various stakeholders including identified risks or issues and recommended remediation. Develop a high level of knowledge around reporting compliance, risk management, and evolving industry changes and understand the broader context of implication of reporting risks affecting the company. May support 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.

Requirements

• Bachelor's Degree or military experience
• At least 3 years of experience in Internal Controls, Data Risk Management, Risk Management, Audit or a combination
• At least 3 years of experience in identifying and assessing IT general, IT application, data movement and systems implementation controls

Nice To Haves

• At least 4 years of experience in Auditing and Control Evaluation
• Certified Internal Auditor (CIA) certification or Certified Information Systems Auditor (CISA) certification
• AWS Certified Cloud Practitioner or AWS Certified Solutions Architect

Responsibilities

• Assist in guiding multiple customer stakeholders through our robust risk management framework including scoping, risk assessment, control design, testing, deficiency analysis, reporting and certification.
• Assist in advising business process performers, risk offices, internal auditors and accountable executives on emerging data and technology risks 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 various stakeholders including identified risks or issues and recommended remediation.
• Develop a high level of knowledge around reporting compliance, risk management, and evolving industry changes and understand the broader context of implication of reporting risks affecting the company.
• May support 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.

Benefits

• This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI).
• Incentives could be discretionary or non discretionary depending on the plan.
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Principal
• Number of Employees: 5,001-10,000 employees