1+ months

Principal Analyst, Capital Markets and Analytics Risk Management

Capital One
McLean, VA
McLean 1 (19050), United States of America, McLean, Virginia

At Capital One, were 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 Analyst, Capital Markets and Analytics Risk Management

Capital One is seeking a motivated professional for a Principal Analyst position on the Capital Markets and Analytics (CMA)s risk management practices group.  The groups goal is to ensure that CMA has solid risk management practices and effectively executes against these practices, including adhering to our policies and processes (governance) and providing quality validation and documentation.  We aim to help mitigate risk and make sure that CMA is meeting our 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 capital markets products, including derivatives and securities

-  Processing of corporate wires, and collateral management activities;

-  Supporting Capital Ones securitization programs, and ensuring their compliance with the SECs regulations;

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

-  Supporting Capital Ones capital, liquidity, and market risks

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 CMA departments are 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 Audits point of contact as well as monitoring/tracking remediation of audit findings.


  • 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 projects, document amendments, etc.
  • Interact with internal working groups for securitization related issues

Basic Qualifications:

  • Bachelor's Degree or military experience
  • At least 3 years of experience in financial analysis modeling
  • At least 2 years of experience in securitization, or in finance, or in capital markets

Preferred Qualifications:

  • Bachelor's Degree or Masters Degree in Finance, Accounting, Financial Engineering, Economics, or other quantitative field of study
  • Chartered Financial Analyst (CFA) license, or Certified Treasury Professional (CTP) license, or Certified Public Accountant (CPA) license
  • 4+ years of experience in securitization, or in finance, or in capital markets
  • 4+ years of experience in credit modeling
  • 4+ years of experience in data analysis
  • Experience with Microsoft Office
  • 4+ years of experience working with relational databases to include SQL or SAS
  • Experience working effectively in a team environment, delivering accurate results, and adhering to tight deadlines
  • Strong communication skills

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


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Principal Analyst, Capital Markets and Analytics Risk Management

Capital One
McLean, VA

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