Principal Associate, SOX Advisory Team

West Creek 3 (12073), United States of America, Richmond, Virginia
Principal Associate, SOX Advisory Team
Capital One's Sarbanes-Oxley (SOX) team is a dedicated group of professionals focused on delivering top-quality external reporting risk advisory services. They leverage a detailed understanding of the full end-to-end risk management and controls process to advise on Sarbanes-Oxley (SOX) and Regulatory Reporting principles, perform independent validation of financial and regulatory reporting data integrity and the associated control environment, and identify opportunities to further strengthen the financial and regulatory reporting environment to meet regulatory expectations.
We are seeking a self-motivated Principal Associate interested in becoming part of our SOX team.
Responsibilities include:

• Lead one or more lines of business through our 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 and accountable executives 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 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 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
• May lead 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 Accounting, Internal Controls, Audit, or a combination

Preferred Qualifications:

• At least 5 years of experience in Accounting, Internal Controls, Audit, or a combination
• Experience in Public Accounting, Financial Services, or a combination
• Certified Public Accountant (CPA), or Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA) or a combination

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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 committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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.
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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).