Principal Analyst, Finance Risk Management - Capital One

Job R65940
Updated date
02/04/2019 Location
McLean, Virginia

McLean 1 (19050), United States of America, McLean, Virginia

At Capital One, we’re 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.

Capital One is seeking a motivated professional for a Principal Analyst position in the Risk Advisory team within the Finance Risk Management (“FRM”) group to oversee the risk activities associated with the Treasury organization within Global Finance. The Treasury organization includes Asset and Liability Management, Investment Portfolio Management, Capital Markets Operations, Capital Markets Funding and Securitization, and Resolution and Recovery Planning.

The goal of the Risk Advisory team is to ensure that the business has solid risk management practices and effectively executes against these practices, including adhering to Capital One’s policies and processes (governance) and providing quality validation and documentation (control). We aim to help mitigate risk and make sure that the Treasury organization is meeting the company’s compliance and operational requirements.

The successful candidate will assist in managing the governance and control framework across a large and complex balance sheet involving many risks, which include:

- Trading, settlement and clearing for investments securities portfolio and for derivatives

- Positioning, forecasting, trading of corporate cash, processing of corporate wires, and collateral management;

- Supporting Capital One’s funding and securitization programs, and ensuring their compliance with the SEC’s regulations;

- Supporting Capital One’s Recovery and Resolution Planning Offices with the compliance of their annual plan submissions;

- Supporting the Capital Market teams with the effort introducing robotics and machine learning in several processes.

Specific responsibilities of this role include, but are not limited to:

- Partnering with functional teams across business areas to assess the health of key risk processes, compliance requirements, functions and controls; identifying areas for improvement and implementing strategies to create more efficient and controlled operational processes.

- Partnering with other risk and compliance organizations across Capital One to support proactive identification, assessment, monitoring and testing of potential risks and compliance requirements.

- Undertaking management control testing to ensure that the Treasury organization is adequately and effectively managing risk.

- Supporting teams across business areas with change control, process mapping and overall operational effectiveness.

- Supporting business areas in policy and procedure documentation refresh as well as in designing new procedures.

- Acting as Audit’s point of contact as well as monitoring/tracking remediation of audit findings.

- Partnering with functional teams across business areas to support the company’s data transformation, data management, and compliance with the company’s standards.

Responsibilities:

• Provide ongoing support to the management team of a program, including maintaining transaction checklists
• Manage securitization programs on day-to-day basis, which includes but is not limited to additions, compliance, reporting related issues, program specific…