Principal Analyst, SOX and Risk Advisory

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About the role

Principal Analyst, Capital Markets & Risks 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.  They leverage a detailed understanding of the full end-to-end risk management and controls process to advise on Sarbanes-Oxley (SOX), the associated risk and control environment, and identify opportunities to further strengthen the financial reporting environment to meet industry, auditor, and regulator expectations. A 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. The candidate should be a well-organized, self-starter who is comfortable functioning autonomously, taking end-to-end ownership of work streams, ensuring all deliverables are completed timely, and leveraging their subject matter knowledge to synthesize all available information to influence our partners to make grounded, risk-based decisions.  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, 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 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. 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 equiv

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