Senior Risk Associate (Trade Surveillance)
About The Position
Senior Risk Associate (Trade Surveillance) The Risk Specialist will support Capital One’s broker dealer trade surveillance program. Risk Specialists are highly motivated Risk Management professionals with excellent communication skills, strong judgment and decision-making skills with integrity and ownership. They have a high level of exposure across secondary trading of asset backed securities (ABS), U.S. Treasuries (UST) and equities as well as the opportunity to create and implement innovative solutions to identify and mitigate potential risks to the Company using various compliance surveillance tools and methods. Key Responsibilities: Key aspects of the trade surveillance analyst role include: Procedure and Parameter Review: Analysts review and update procedures and parameters within the Validus platform and run curated test scenarios to ensure the adequacy of trade surveillance. Alert Review and Escalation: Analysts review all trade alerts generated by the Validus system. Alerts are expected to be resolved within 30 days, and any potential violations are escalated according to an escalation matrix. Documentation of Reviews: All trade alert reviews are documented within the Validus platform, with evidence of reviews including a "resolved" status and a rationale for the disposition of the alert. Secondary Review and Managerial Oversight: If an analyst determines an alert poses a potential trading violation or needs additional help, it is raised to a supervisor for a secondary review. The Head of Surveillance Program also performs monthly managerial reviews to ensure appropriate dispositioning of trade alerts. Data Completeness and Accuracy: Periodically conduct reviews to ensure the completeness and accuracy of trade data transmitted to the surveillance system, including checks between Bloomberg TOMS and Eventus.
Requirements
- Bachelor’s degree or military experience
- At least 3 years of compliance trade surveillance experience
Nice To Haves
- 4+ years of experience within an asset backed securities or other fixed income securities broker dealer trade surveillance function
- 3+ years of experience supporting, partnering, and interacting with internal business clients
- Strong analytical and communication skills
- Proficiency in Microsoft 365, Google Workspace and aptitude to learn various compliance systems
- Excel when working both independently and as part of a team
- Be flexible and capable with the scope of work (small, medium, large efforts)
- Excellent organizational and time management skills
- Ability to handle and deliver multiple priorities
- FINRA Series 7 license
Responsibilities
- Procedure and Parameter Review: Analysts review and update procedures and parameters within the Validus platform and run curated test scenarios to ensure the adequacy of trade surveillance.
- Alert Review and Escalation: Analysts review all trade alerts generated by the Validus system. Alerts are expected to be resolved within 30 days, and any potential violations are escalated according to an escalation matrix.
- Documentation of Reviews: All trade alert reviews are documented within the Validus platform, with evidence of reviews including a "resolved" status and a rationale for the disposition of the alert.
- Secondary Review and Managerial Oversight: If an analyst determines an alert poses a potential trading violation or needs additional help, it is raised to a supervisor for a secondary review. The Head of Surveillance Program also performs monthly managerial reviews to ensure appropriate dispositioning of trade alerts.
- Data Completeness and Accuracy: Periodically conduct reviews to ensure the completeness and accuracy of trade data transmitted to the surveillance system, including checks between Bloomberg TOMS and Eventus.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
