# Principal Analyst, SOX and Risk Advisory

**Company**: Capital One
**Experience**: senior
**Job type**: full-time
**Salary**: $131,300 - $149,800 for McLean, VA and $119,400 - $136,200 for Richmond, VA
**Category**: Finance
**Industry**: Finance

**Apply**: https://capitalone.wd12.myworkdayjobs.com/en-US/Capital_One/job/McLean-VA/Principal-Analyst--Capital-Markets---Risks_R248773-1?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_7db834d5-413

## Description

Capital One’s Sarbanes-Oxley (SOX) Advisory team in Finance Risk Management (FRM) is a dedicated group of professionals focused on delivering top-quality external reporting risk advisory services.

The successful candidate for this role will have strong critical thinking and analytical skills, be a proactive problem solver with the ability to operate in white space, and have strong communication and presentation skills with the ability to clearly articulate complex topics both orally and written to a wide variety of audiences.

Responsibilities include:

- Lead one or more lines of business through a robust approach to risk management including scoping, risk assessment, control design, testing, deficiency analysis, reporting and quarterly certifications.

- Liaise between business process performers, risk offices, internal auditors, external auditors and accountable executives and communicate identified risks or issues and recommended remediation actions to these stakeholders.

- Collaborate with partner teams on issues and events investigation, root cause analysis and suggested remediation actions for teams/programs supported and provide guidance in remediating process breakdowns through problem solving and connecting the dots to engage proper stakeholders.

- Support and facilitate Process Level Risk Assessments across business partner teams.

- Provide risk advisory support for major projects and initiatives across one or more lines of business and horizontally across Finance.

- Partner closely with 1st line business teams (Controller’s, Card, etc.) as well as 2nd line oversight (e.g. Enterprise Risk Management, Operational Risk Management and Corporate Compliance teams) to provide tailored risk support for various initiatives and projects.

- Support the Regulatory Change Management process cross-functionally, ensuring proper socialization and careful consideration has been given to applicability and potential impacts.

- Support technology and business transformation, including assessing potential control changes that may be required to enhance 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 senior leadership, 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.

Basic Qualifications:

- Bachelor's Degree or military experience

- At least 3 years of experience in Accounting, Financial Reporting, Internal Controls, Audit, or a combination

Preferred Qualifications:

- 4+ years of experience in Auditing and Control Evaluations

- 3+ years of experience in SOX controls at a Big Four Accounting Firm

- Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or equivalent certification

## Skills

### Required
- Accounting
- Financial Reporting
- Internal Controls
- Audit

### Nice to have
- Auditing and Control Evaluations
- SOX controls
- CPA
- CIA
- CISA

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Source: [Apply at capitalone.wd12.myworkdayjobs.com](https://capitalone.wd12.myworkdayjobs.com/en-US/Capital_One/job/McLean-VA/Principal-Analyst--Capital-Markets---Risks_R248773-1?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)