Senior Risk Associate, Capital Markets - Regulatory Onboarding

Capital One•Charlotte, NC

2d•Remote

About The Position

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 Richmond, VA/ Plano, TX/ or Charlotte, NC. Capital One Commercial Bank Operations is seeking a dynamic, experienced professional to join the Regulatory Operations Onboarding team as a Senior Associate. This team supports the highly transactional Derivatives and Securities sales and trading business handling all onboarding-related activities. Through daily responsibilities to onboard new customers, team members ensure Capital One is compliant with CFTC, FINRA, and other regulatory requirements, while providing our customers with an unassailable onboarding experience.

Requirements

High School Diploma, GED or equivalent certification
At least 3 years of experience in Financial Services
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
Candidates must live within approximately 50 miles from one of the hub locations based in 23238, 75024, 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
2+ years of experience with derivatives products, ISDA Definitions, and Dodd-Frank Title VII
2+ years of experience with securities products and FINRA rules
2+ years years of experience in KYC (Know Your Customer) or AML (Anti-Money Laundering)
2+ years years of experience with Client Onboarding

Responsibilities

Provide exceptional customer service to both internal and external customers, while managing documentation support and coordination of client onboarding
Perform due diligence review and validation of onboarding documentation for accuracy and regulatory compliance
Consult Front Office and external customers on onboarding requirements and policies
In partnership with Front Office, conduct weekly pipeline reviews and prioritization of requests
Facilitate account setup in system of records with internal teams such as Derivatives Operations, COS Operations, and Collateral
Collaborate with internal teams to optimize processes and build relationships with our partners
Manage onboarding documentation and ensure they are uploaded into the record keeping depository
Manage external and internal audit requests in onboarding related asks
Regular review and appraisal of workflows and procedures to provide optimum client experience and appreciation of regulatory, compliance and risk environment
Demonstrate and articulate processes and industry knowledge through various communication avenues to internal team members and customers
Strong communication skills (both written and oral)
Attention to detail and a sense of urgency in escalating and resolving outstanding issues
Critical thinking skills and demonstrated ability to independently analyze problems and synthesize and implement solutions
Focus on achieving both short and long-term goals. (Candidate should be able to drive and execute an agenda in an uncertain and fluid environment)
Ability to integrate business fundamentals, technology skills, and project management to deliver results
Investigative mindset and is unafraid of fast failing to determine what doesn't work instead of focusing solely on what is working
The propensity to thrive under conditions of uncertainty and ambiguity
Ability to work effectively both in a team environment or independently

Benefits

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

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