Summary:
● To effectively identify, assess, monitor, and mitigate risks within the site consistent with Capital One’s internal controls and policies
General Responsibilities:
● Performance of First Line of Defense Assessments
○ Conducts periodic controls testing
○ Performs Business Area Risk Review / Risk Management and Control Framework / Enterprise Risk Self- Assessment
○ Leads local site audit management
○ Liaises with internal and external auditors to facilitate audit requirements
● Risk and Remediation Monitoring
○ Inputs risk issues and events in GRC
○ Identifies potential risk issues and events and reports appropriate ticket for resolution
○ Participates in the analysis and resolution of risk issues and controls
○ Conducts local site audit remediation
○ Maintains inventory of identified risks, controls, and remediation completion
● Site Risk Management
○ Partners and liaises with Risk counterparts and the management team in implementing sustainable policies and compliance control programs
○ Ensures site awareness of risk management, including but not limited to the following activities:
○ Provides training and assistance to Risk points-of-contact (POCs) and other employees on control procedures
○ Performs periodic testing, control awareness discussions, distribution of control tools (eg. findings database)
○ Cascades respective risk policies and standards relevant to each function
○ Prepares materials for monthly Risk Committee Review meeting
● May be assigned / rotated across related sub-functions including but not limited to sub-functions within Shared Services
● Other job-related duties that may be assigned from time to time
Basic Qualifications:
● Educational Background: Business graduate, preferably with Accounting units
● Professional Experience: 3-5 years’ experience in managing risk and internal controls in Financial industry; Certified internal Auditor
● Skills Required:
○ Understanding of operational risk management framework and techniques;
○ Strong analytical skills to understand risk processes and identify appropriate controls;
○ Effective communication skills to present, negotiate, and influence
○ Sound judgment in recommending and implementing resolutions
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 RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
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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).