Senior Associate, Risk Specialist – eComm Surveillance Population Management

Capital One

Senior Associate Risk Specialist maintaining compliance for the Commercial Bank's Surveillance Program. Focused on data integrity, process optimization, and cross-functional collaboration for employee monitoring.

Posted 7/29/2026full-timeNew York City • New York, Virginia • 🇺🇸 United StatesSenior💰 $96,500 - $120,100 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance operations and data reconciliation, with a strong focus on maintaining data integrity and regulatory compliance within financial services. Proficient in utilizing data management systems and collaboration tools to streamline workflows and enhance operational efficiency.

Highest-signal resume keywords

Compliance OperationsData ReconciliationG-SuiteMicrosoft OfficeFinancial Regulatory Frameworks

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Data ReconciliationCompliance OperationsData IntegrityOnboarding WorkflowsOperational Tracking

Soft Skills

CollaborationCommunicationProblem-Solving

Tools & Technologies

G-SuiteMicrosoft OfficeCompliance Surveillance ToolsData Management Systems

Industry Keywords

FINRASECCFTCFinancial ServicesOperational Procedures

About the role

Key responsibilities & impact

Maintain the definitive, golden-source inventory of the monitored employee population
Actively track internal transfers, role changes, and status updates to guarantee continuous regulatory compliance coverage
Partner seamlessly with key stakeholder teams to manage the end-to-end lifecycle of monitored associates
Validate that newly onboarded associates are flawlessly configured across all compliance surveillance tools, databases, and communication channels from day one
Design and execute rigorous daily, weekly, and monthly reconciliation processes between internal data feeds and surveillance system rosters
Serve as the primary point of contact for internal business partners regarding population scoping, access issues, and roster data discrepancies
Collaborate with leadership and technical teams to streamline workflow pipelines, automate manual reconciliation tasks, and refine operational procedures
Promptly identify and flag operational gaps, technical setup failures, or potential compliance risks regarding population tracking to team leadership for immediate review

Requirements

What you’ll need

Bachelor’s Degree or military experience
At least 2 years of experience in operations, process management, data reconciliation, or compliance onboarding workflows
At least 2 years of experience utilizing G-Suite or Microsoft Office for data tracking, reporting, or analysis
3+ years of experience in compliance operations, data integrity, or HR operations within a financial services institution (preferred)
Familiarity with the operational tracking required under financial regulatory frameworks (managing monitored populations under FINRA, SEC, or CFTC guidelines) (preferred)
Experience utilizing data management systems or specialized compliance surveillance tools to manage user permissions and communication groups (preferred)
Experience partnering with internal business clients and technical teams to automate manual operational processes (preferred)

Benefits

Comp & perks

Comprehensive, competitive, and inclusive set of health, financial and other benefits
Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
Drug-free workplace