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Capital One
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Principal Associate, Risk

Principal Associate, Risk

Capital One

7 - 12 years

50 - 60 Lacs

bengaluru

Posted:1 day ago| Platform:

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Skills Required

enterprise risk management san manager internal audit assurance principal associate claims iso 27001 coso technical support auditing

Work Mode

Work from Office

Job Type

Full Time

Job Description

As a Principal Associate, you will have dynamic responsibilities associated with Capital One India s Risk Management team, helping to ensure a timely and accurate month-end risk reporting, in addition to managing Policy documents and in-house Six-Sigma based framework - forming an integral part of the job. You will also work with an outstanding team to implement the Risk Management framework and collaborate on recommended solutions.

Responsibilities:

Manage the India Risk Management team consisting of Risk and Assurance activities to ensure
- Tim ely completion of all activities
- Adequate cross training and backup
- Completion of asks from India Leadership
- Strateg ic planning for the Risk Management function
PSP - Governance (Policies, Standards & Procedures)
- Review and ensure compliance with the Enterprise Policy Program standard
- Report on creation of new documents, renewals/ expiry of existing documents and Standard Adherence Assessment conducted by CPO (Corporate Policy Office)
- Maintain repository of India wide documents
- Influence updates to policies, standards to enhance risk management activities
- Maintain Risk Management PSPs and SOPs and draft new documents as the team expands the scope of work
Corporate Insurance
- Renew and maintain following Insurance Policies
  - Worker s Compensation (WC)
  - Property Insurance
  - Directors and Officers Liability (D&O)
  - Commercial General Liability (CGL)
- Coordinate with Insurance Broker and facilitate claims
Physical Records
- Facilitate storage and transport of physical records via third party
- Maintain Inventory Index to track the data and retention requirements by Law
Internal Audit
- Finalize the vendor to conduct annual Internal Audit
- Draft the scope and IA calendar
- Coordinate with Internal teams and facilitate the IA
- Assist in timely closure of observations/ recommendations
- Report the status and details of observations to LT
Prepare the Risk reports at India site level risk in the Enterprise Risk Management framework including key topics like
- Phishing drill report to Leadership Team (LT)
- Bi-annual Official Records (non-HR GDrive) certification and reporting to Risk Head
- Quarterly Sensitive Data Assessment and reporting to Risk Head
- Monthly Hard Disk Drive (HDD) remediation report to LT
- Monthly Iron Mountain document storage to File manages, respective LTs
Constantly work with US Risk Office and Cyber teams to expand the scope of Risk Reporting
Prepare Assurance Reports including
- Monthly Controls execution report to owners & relevant LT
- Coordinate with Capital One US teams and India support teams to report status on:
  - IA TPM
  - ABAC
  - BCP testing
  - Standard Adherence Assessment
  - Statutory Audit
Work closely with LT to maintain artefacts (like Vision, Roadmap, etc) in the internal portal for SLQ2CQ (Capital One internal Lean - Six Sigma based framework)
Present the Risk and Assurance reports to LT in the following forums:
- Monthly Business Review (MBR) - chaired by India head, US Risk Office head and US Legal head
- Quarterly Risk, Legal & Tech Committee - chaired by India head, US Risk Office head, US Legal head and US Tech Head
Ideate and implement Risk Management framework across Risk Taxonomy and refresh framework based on evolving business needs/ risks
Partner with other Risk Management functions across the company and cross functional teams to conduct Process Level Assessments
Maintain relationships with key stakeholders to ensure timely delivery of commitment

Basic Qualifications

Bachelors degree in Engineering
At least 7 years of experience in Banking/Risk Management
At least 2 years of experience in Enterprise Risk Management
Deep knowledge on:
- Enterprise Risk Management framework and implementation
- Three Lines of Defense framework
- Handling/ facilitating Internal Audits

Preferred Qualifications

7+ years of experience in risk management
Enterprise Risk Management - Level 2 qualified (by IRM - Institute of Risk Management)
COSO framework, ISO 31000 and ISO 27001

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Principal Associate, Risk