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.
Basic Qualifications:
- 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
Preferred Qualifications:
- 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
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
McLean, VA: $131,300 - $149,800 for Principal Analyst, Capital Mkts & Risk
Richmond, VA: $119,400 - $136,200 for Principal Analyst, Capital Mkts & Risk
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.
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.
This role is expected to accept applications for a minimum of 5 business days.
No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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- 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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