Senior Associate, Risk Controls Assurance Analyst

  • Company: Capital One
  • Posted: January 06, 2017
  • Reference ID: R15732
Plano 3 (31063), United States of America, Plano, Texas

Senior Associate, Risk Controls Assurance Analyst

As a Senior Associate in Home Equity’s Risk Office you will play a critical role in validating that control testing performed by quality assurance and quality control functions in the business is executed correctly and is designed to confirm compliance with the applicable regulatory requirements.  You will also be responsible for analyzing the portfolio of Home Equity controls to identify performance results that warrant research and to identify trends that indicate existing controls may not effectively measure risk.


  • Validate control testing results executed by QA and QC functions in the Home Equity business:
    • Confirm controls are designed to effectively prevent or detect non-compliance with specific requirements
    • Ensure controls are executed in alignment with the design and identify cases where control testing is executed poorly
    • Verify that the control mix for High, Medium and Low risk regapps aligns to the FS compliance controls guideline
  • Perform control analysis on the portfolio of Home Equity controls to identify areas in the business that require further attention and research and make recommendations on how they should be addressed
  • Work with the Home Equity Risk Office to develop a control monitoring program that checks for compliance with control design standards and testing frequencies
  • Work with the Business Risk Office team to develop reporting to measure the health and effectiveness of all Home Equity 1st Line of Defense controls
  • Facilitate the annual Credit Control Review performed by Credit Risk Management
  • Build and maintain strong relationships with Home Equity business functions, Corporate Compliance and associates in the control assurance teams across Financial Services 
  • Experience working with cross-functional teams to accomplish complex time-sensitive projects
  • Six Sigma Lean, Green Belt certification
  • Knowledge of SQL
  • Process engineering / industrial engineering experience

Basic Qualifications: 

  • Basic Qualifications:

    - Associate’s Degree or Military experience

    - At least 1 year of Financial Services Risk Management Experience

  • Preferred Qualifications: 

  • At least 4 years of Risk Management experience
  • At least 2 years of experience in process management experience

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

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