Capital Markets Senior Associate

Capital One•Charlotte, NC

51d•Remote

About The Position

Capital Markets Senior Associate Are you looking for a challenging role that includes the convenience of working virtually at home? Then a Capital One Commercial Ops role may be the role for you! You must be within 50 miles driving distance from one of our Capital One hubs in Charlotte, NC or Plano, TX. Capital One is looking for an experienced, motivated professional to join a growing brokerage firm. The position will be part of the Commercial Operations team and will involve the processing of functions that include but are not limited to clearing, securities settlements, trade confirmations, funds flow, reporting and various other aspects in support of several lines of business. The role will be expected to help create processes and procedures and provide training to other associates on M&A operations, securities settlement related issues, while supporting existing products and services. Candidates must possess excellent organizational skills, customer contact and interpersonal skills, along with oral and written communication skills. If a candidate does not hold a specific FINRA license needed for this role, you may be required to obtain that license within 3 months from your start date as a condition of employment. Work from Home Technology Requirements: A secure home office environment that is free from background noise and distractions A reliable private internet connection that is not supplied via cellular data or hotspot A private network that is password protected where you have ownership or line of sight to every device on the network Internet service must be provided by Cable or fiber Internet Service Provides (ISP) Hotspots and satellite services are prohibited and do not meet performance criteria required for optimal agent/customer interactions ISP download speeds on VPN must be at least 5Mbps, with 10+ Mbps preferred To validate ISP speeds from a Chrome browser, go to www.google.com , type Speed Test and run from the Google landing page Both Hardwire and WiFi internet connections are acceptable as long as speed and security requirements are met Capital One reserves the right to request proof of internet provider, speed and service package from the associate. Requirements are subject to change, as new systems and technology are delivered. Capital One reserves the right to modify internet service requirements with sixty (60) days notice. Internet Service Provider specs can change by provider and location within the US. If you are experiencing consistent issues with internet stability Capital One reserves the right to ask the agent to upgrade internet service to ensure a good customer experience. Work from Home Living Requirements : Candidates must live within approximately 50 miles of one of the hub locations based in 28203 or 75024 and be comfortable coming in person whenever required with no less than 24 hours notice.

Requirements

High School Diploma, GED, or equivalent certification
At least 3 years of operations experience
At least 3 years of Middle, Back Office or Settlement experience
Experience in securities business and familiarity with settlement process
Exposure to M&A operations
Exposure to Derivatives Operations and trade life cycles
Experience with Regulatory Reporting
Contribute to action plans aimed at increasing operational efficiencies
A secure home office environment that is free from background noise and distractions
A reliable private internet connection that is not supplied via cellular data or hotspot
A private network that is password protected where you have ownership or line of sight to every device on the network
Internet service must be provided by Cable or fiber Internet Service Provides (ISP)
Hotspots and satellite services are prohibited and do not meet performance criteria required for optimal agent/customer interactions
ISP download speeds on VPN must be at least 5Mbps, with 10+ Mbps preferred
Candidates must live within approximately 50 miles of one of the hub locations based in 28203 or 75024 and be comfortable coming in person whenever required with no less than 24 hours notice.

Nice To Haves

Bachelor’s Degree or Military experience
FINRA Series 7, 79 or 99 license
4+ years of experience in Broker Dealer
4+ years of experience with Asset-Backed Securities
4+ years of experience working with securities clearing software
4+ years of experience working with Mergers and Acquisitions
4 + years of experience with Swap Dealer or Dodd Frank

Responsibilities

Process trade allocations and step-ins
Proactively monitor trade settlement and quickly resolve any exceptions causing trades not to settle
Work with clearing broker and client back offices to ensure accurate bookings
Process Derivative Transactions (Commodities, FX and Interest Rates)
Register, process, and book Asset-Backed Securities for primary offerings
Fulfill periodic audit requests from both internal and external auditors
Download and review daily trading documentation
Assist internal financial operations group with daily, monthly, and quarterly reports
Develop further trading operations management processes as needed
Data entry and maintenance of customer database
Customer trading account opening and maintenance
Customer file maintenance and electronic record keeping management of customer files
M&A deal onboarding; deal closing; deal archiving
M&A deal regulatory documentation and filing into official system of record
M&A regulatory notifications
Update deal statuses in official system of record to kick off notification to partners to begin process
Conduct monthly reconciliation of M&A deals
Upload M&A deal documents into official system of record to provide notification to partners

Benefits

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI).
Incentives could be discretionary or non discretionary depending on the plan.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.

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