Principal Risk Associate (Small Business Risk Office)


: $114,915.00 - $200,830.00 /year *

Employment Type

: Full-Time


: Financial Services - Banking/Investment/Finance

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Plano 2 (31062), United States of America, Plano, Texas

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.

Principal Risk Associate (Small Business Risk Office)

As a Principal Risk Specialist in Capital One?s Small Business Risk Office you will be responsible for working with business partners to identify and consult on potential risks to Capital One. This requires strong collaboration with Legal, Compliance,?Risk Management, and other business partners to ensure profitable and customer-friendly business strategies and efforts are compliant and well-managed.


Partner closely with Small Business Bank teams to enable strategies while protecting Bank reputation and?our customers through the following:

Risk Management:

  • Manage risk across Small Business Bank and prepare assessments for Management
  • Identify and resolve risk events / issues impacting customers stemming from process breakdowns or other problems,?developing permanent corrective actions
  • Partner with Small Business Bank to document policies, processes, standards, and procedures to facilitate/demonstrate?compliance with laws and regulations
  • Develop and implement risk management controls
  • Implement new compliance or risk initiatives sponsored at a corporate or Bank-level
  • Influence leaders and leverage business partners across the organization to drive results
  • Project/Process Assessments:

  • Conduct Risk Assessments of new strategies and efforts for Risk and Regulatory Compliance and help develop right?solutions
  • Support teams through unstructured problems and manage change while demonstrating superior problem-solving skills,?strong business judgment, and executive presence
  • Build strong cross functional partnerships within the Small Business Bank and corporate partners
  • Basic Qualifications:

  • Bachelors Degree or military experience
  • At least 2 years of experience in one of the following: Risk Management or Project Management or Process Support
  • Preferred Qualifications:

  • Masters Degree
  • 3+ years experience within banking
  • 2+ years experience managing and implementing risk management controls
  • At this time, Capital One will not sponsor a new candidate for employment authorization for this position.

    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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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.

    If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-###-#### or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

    For technical support or questions about Capital One's recruiting process, please send an email to

    Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

    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).

    Associated topics: bond, capital, commodities, equity, fiduciary, ira, invest, risk, security, stock * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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