Senior Risk Associate – Trade Surveillance
Capital One
full-time
Posted on:
Location Type: Office
Location: New York City • New York • Virginia • United States
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Salary
💰 $96,500 - $120,100 per year
Job Level
About the role
- Support Capital One’s broker dealer trade surveillance program
- Review and update procedures and parameters within the Validus platform
- Review all trade alerts generated by the Validus system
- Document all trade alert reviews within the Validus platform
- Conduct periodic reviews to ensure the completeness and accuracy of trade data
Requirements
- Bachelor’s degree or military experience
- At least 3 years of compliance trade surveillance experience
- 4+ years of experience within an asset backed securities or other fixed income securities broker dealer trade surveillance function (preferred)
- 3+ years of experience supporting, partnering, and interacting with internal business clients (preferred)
- Strong analytical and communication skills (preferred)
- Proficiency in Microsoft 365, Google Workspace and aptitude to learn various compliance systems (preferred)
- FINRA Series 7 license (preferred)
Benefits
- Performance based incentive compensation including cash bonus(es) and/or long term incentives (LTI)
- Comprehensive, competitive, and inclusive set of health benefits
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
trade surveillancecomplianceanalytical skills
Soft Skills
communication skills
Certifications
Bachelor's degreeFINRA Series 7 license