Principal Risk Specialist at Capital One responsible for technology risk management and compliance with regulatory requirements. Ensuring effective control governance and contributing to process improvements.
About the role
- Senior Controls & Governance Advisor in Vanguard's Advice and Wealth Management Division. Develops business solutions and analyses to address potential risks while providing governance guidance.
Responsibilities
- Provide controls and governance guidance, oversight, and assurance services to enterprise and divisional partners based on Vanguard’s enterprise risk and control standards.
- Ensures the development and implementation of effective business controls.
- Leads and manages the efficiency and effectiveness of controls and governance within the business.
- Sets measurable goals and examines ways to raise standards, to increase quality and to improve overall business outcomes.
- Measures departmental success in identifying and managing potential exposures and identifies and prioritizes control gaps or improvement opportunities and advises on appropriate control design and testing.
- Leads and assists the business in the development, implementation and management of long-term control and governance strategies in accordance with department goals and objectives, enterprise policies and procedures, and the overall approach to managing uncertainty and potential tradeoffs.
- Works with the business to establish effective controls and optimize process efficiency.
- Uses expert industry best practice knowledge to design effective controls and makes recommendations for developing new mitigation strategies for the business.
- Provides consultation, facilitation and analytical support to the divisional management team as new products, services, processes and procedures are developed to ensure tradeoffs are considered and business processes are properly controlled.
- Develops and maintains strong relationships with enterprise and divisional clients to understand their ongoing needs.
- Acts as a thought partner to the business on matters of control and governance.
- Assesses the design of existing controls and make recommendations, leverages industry best practice for improvement as needed.
- Understands enterprise frameworks and utilizes the core concepts when discussing potential exposures with the business.
- Participates in special projects and performs other duties as assigned.
Requirements
- Minimum of eight years’ related work experience
- Undergraduate degree or equivalent combination of training and experience
- Graduate degree preferred
Benefits
- Health insurance
- Retirement plans
- Flexible work arrangements
- Professional development
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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