Principal Associate, Technology Risk - Unified Tech Exceptions Program (UTEP) ES Risk

  • Harrisonburg
  • Capital One
Center 3 (19075), United States of America, McLean, Virginia

Principal Associate, Technology Risk - Unified Tech Exceptions Program (UTEP) ES Risk

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #127 on the Fortune 500, Capital One has one of the most widely recognized brands in America. As one of the nation’s top 10 banks, we offer a broad spectrum of financial products and services to consumers, small businesses and commercial clients. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.

As a Technology Risk Office Associate in Capital One’s Enterprise Services Risk organization, you will apply your risk management skills to the company’s Technology organization. You will partner across Enterprise Services, Divisional CIO, and Information Security teams to develop and support best-in-class industry risk solutions in a manner that supports innovation and protects our customers, shareholders and associates. You will collaborate with both 1st and 2nd line teams to monitor and test processes and control environments, report results, and evaluate compliance with regulations for the Technology organization.  Your contributions will support one of Capital One’s key programs to transform how we rebuild our data ecosystem. Your work will drive insight into risk and control performance, and organizational change through risk identification, measurement, analysis and reporting to enable better management of technology risks in an open and collaborative environment.

As a member of the Technology Risk Management - Unified Tech Exceptions Program (UTEP), you will support major technology risk initiatives for Capital One. This role involves the development and documentation of processes, supporting technology control assessments, and overall project management responsibilities.  This will be a challenging role in a dynamic and fast-paced environment requiring the ability to multi-task and prioritize assignments appropriately. 

General Responsibilities: 

  • Support the development of processes, enhancements, applications, and tools supporting the technology risk requirements

  • Support any technology controls assessments for processes, applications and tools against established risk frameworks and requirements supporting the   

  • Develop and publish all recurring updates/reporting/dashboards necessary for leadership for UTEP

  • Help manage the UTEP User Acceptance Testing and Production Testing schedule

  • Partner closely with UTEP partners in monitoring and mitigation of technology risks

  • Partner across risk teams, including Product, Tech, and Cyber to deliver and implement system enhancements

  • Provide guidance, expertise, and assist in the coordination of the Unified Tech Exceptions Program

  • Develop Unified Exceptions Management Program documentation to include but not limited to, procedures, job aids, and new framework

  • Educate stakeholders and drive the adoption of new processes associated with the UTEP Program

  • Develop and implement oversight processes to validate compliance with new Unified Exceptions Management framework and associated processes

Basic Qualifications:

  • Bachelor's Degree or military experience

  • At least 2 years of experience in an information technology or risk management field

  • At least 2 years of experience presenting across all levels of the enterprise, from technical to executive levels

  • At least 2 years of experience in process development and documentation

  • At least 2 years of experience in governance, risk, and compliance tool experience 

Preferred Qualifications: 

  • 2+ years of Agile experience

  • 2+ years of experience with JIRA 

  • 1+ years of experience working in a fast paced consulting environment 

  • CRISC, CISSP, CISA, CRCM, or CIPP Risk Management certification

  • Ability to communicate effectively with people across multiple levels

  • Ability to negotiate and influence results without direct authority

  • Strong consulting skills


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.

New York City (Hybrid On-Site): $134,100 - $153,000 for Prin Assoc, Cyber Risk & Analysis

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   . 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).