1+ months

Enterprise Risk Management Corporate Policy Governance and Adherence Principal Associate

Capital One
McLean, VA 22101
McLean 2 (19052), United States of America, McLean, Virginia

At Capital One, were building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.                                               

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Enterprise Risk Management Corporate Policy Governance and Adherence Principal Associate

Capital One is seeking an energetic, self-motivated Principal Associate to join the Corporate Policy Governance and Adherence team within Enterprise Risk Management. The team is a dedicated group of professionals focused on executing second line-of-defense oversight responsibilities by improving governance and consistency of policies and ensuring policy adherence for Capital One.

This Principal Associate will contribute to the establishment and execution of strategies and processes to govern policy documents across the enterprise. The Principal Associate will partner with stakeholders to enhance consistency of policies and effectively challenge, as needed. Further, the Principal Associate will perform validation work of monitoring plans for policies. This assessment process is in place to identify gaps in adherence to requirements captured in policies. The Principal Associate will conduct validation testing, document validation testing results, prepare workpapers to evidence validation methods, and draft final reports for customers to summarize validation results. The Principal Associate will also be responsible for building and maintaining relationships with business partners while adhering to the highest ethical standards required for independent testing.

Success in this position will rely heavily on working well with associates across the Enterprise, identifying and executing strategies to build and improve processes, analyzing data from a variety of sources, and independently identifying risk through undefined processes or ways that are not predetermined. This role requires core strengths in Results Focus, Problem Solving, Analytical Thinking, and Communication. The ideal candidate will have prior experience working with executives, a demonstrated ability to manage processes, and an ability to assess whether processes and controls are well-designed and effective. Further, the candidate will have experience with writing precise documents (via policy documents, reports, or elsewhere) and an attention to detail. A commitment to collaboration and teamwork is required, while having a strong ability to influence as well as being detail-oriented and results-focused.


  • Contributes to the development of the strategy and executes the processes to govern, improve consistency for, and monitor adherence to policies

  • Engages in the review of policy documents and partners with policy stakeholders to drive consistency and improve content in policy documents

  • Performs validation on identified policy requirement monitoring activities to ensure they have adequate governance, evidence of execution, and appropriate escalation

  • Maintains a validation calendar for review of policy adherence monitoring plan validation

  • Ensure issues are properly reported to business areas and remediated appropriately

  • Compiles and maintains metrics and analysis for reporting

  • Develops clear and concise communications (written and presented) and insightful and forward-looking reporting

  • Identifies emerging risks, process improvements, and areas for increased training

  • Provides effective challenge to the business where appropriate

  • Performs and supports detailed data analysis to include trending and issue identification

  • Manages work across organizational lines to achieve results and manages competing priorities

Basic Qualifications:

  • Bachelors degree or military experience

  • 2 years of audit, quality assurance testing or risk management experience

Preferred Qualifications:

  • 3 years of enterprise risk management experience

  • Policy management experience

  • Project or Process management experience

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.


Posted: 2019-09-11 Expires: 2019-12-11

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Enterprise Risk Management Corporate Policy Governance and Adherence Principal Associate

Capital One
McLean, VA 22101

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