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R131985 Posted 01/18/2022

Principal Associate - Enterprise Services Risk Guide

McLean, Virginia | Plano, Texas | Richmond, Virginia
  • Category Risk Management
  • Experience Principal Associate
  • Primary Address McLean, Virginia


Center 2 (19050), United States of America, McLean, Virginia

Principal Associate - Enterprise Services Risk Guide

Do you want to be part of a team that’s dedicated to helping Capital One identify, manage, and effectively mitigate risk? As part of the Technology Risk Guide team, you’ll be working with talented associates to provide oversight and effective challenge to help ensure that our technology teams effectively manage our risk environment. You’ll bring your unique perspectives and experiences to foster a more risk aware culture, add creativity to our risk mitigation approach, and drive compliance through controls.  Your contributions will drive change through risk identification, measurement, analysis and reporting to better manage the company’s risk in an open and collaborative environment.

As part of the Technology Risk Guide team, you’ll serve as both an effective challenger and a trusted advisor by assessing the technology risks, control design, control operations, documentation, and governing documents.  This team manages risks associated with open source code, cloud technology, identity and access management, and software development life cycle.  You be the central point of contact for the technology team to help with risk and compliance initiatives from across the enterprise.

A successful Principal Risk Associate on this team will use their risk background to advise and challenge our first line technology teams to identify, document, and mitigate risks to an appropriate level and in a sustainable manner.  The individual has great communication skills, is comfortable interacting with individuals in a variety of roles, across varying levels, and manages multiple innovative fast-moving projects.  The ideal candidate is forward thinking, quick to adapt to change, and has an interest and background in technology.  This individual will partner across 1st, 2nd, 3rd LOD risk teams, software engineering teams, Cyber, and Legal to develop and support best-in-class industry risk solutions in a manner that supports innovation and protects our customers, shareholders and associates.


  • Performing & Supporting Risk Assessments: Performing and assisting with risk assessments identify risks, evaluating the effectiveness and appropriateness of control execution, consulting on proper risk mitigation, and validation of appropriate implementation.  Supporting risk identification processes such as Risk Control and Self Assessments (RCSAs), Risk Control Reviews, and Process Level Assessments (PLA).
  • Executing Control Validations: Reviewing control design and operating effectiveness through control testing.  Guiding teams on proper design, execution, documentation, and remediations.
  • Consulting: Provide risk consulting throughout process changes, testing by 1st, 2nd, 3rd LOD and external parties, and throughout remediation activities.
  • Reviewing Policies and Procedures: Reviewing applicable Policies, Standards and Procedures to provide reasonable assurance the objective of the processes are achieved and process-level risks are addressed and in compliance with regulations.
  • Serve As The Primary Technology Risk Guide: Act as a risk guide for the respective software engineering teams to propel technology risk agenda and help leadership make informed decisions in supporting their business partners.
  • Guide Technology Team: Through different risk and compliance items such as risk and control self assessments, process level assessments, and testing by 1st, 2nd, and 3rd LOD.
  • Influence: Meet with leaders within across teams on key technology risks and necessary controls for proper risk mitigation
  • Lead Enterprise Programs: Manage and govern deliverables for enterprise programs and initiatives.  

Basic Qualifications:

- Bachelor’s Degree 

- At least 4 years of experience in Risk Management, Compliance, Audit, Data Engineering, or Technology

Preferred Qualifications:

- Bachelor of Business Administration Degree in Business Management, Information Technology, Accounting, Finance, or Economics

- At least 6 years of experience in Risk Management, Audit, Consulting, or Data Engineering within the financial industry

- Certified Information Systems Auditor (CISA) certification, Certified in Risk and Information Systems Control (CRISC) certification, or Certified Information Security Manager (CISM)

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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