Associate Risk Specialist - Commercial Bank Associate Surveillance Program

Fairfield (10930), United States of America, Fairfield, New Jersey

At Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Associate Risk Specialist - Commercial Bank Associate Surveillance Program

Title: Associate Risk Specialist - Commercial Bank Associate Surveillance Program

Level: Associate

Associate Risk Specialist at Capital One are highly motivated Risk Management professionals with excellent organizational and communication skills. They have a high level of exposure across multiple lines of business 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. This position will work with a team of professionals to assist in the management of Capital One Commercial Bank's Associate Surveillance Program. This role will be responsible for the day to day review of alerts generated from various surveillance tools.

Responsibilities:

  • Reviewing electronic communications (baseline of 250 messages per day) and voice recordings (baseline of 2 hours per day) of firm employees for potential violations of firm policies and applicable rules and regulations (CFTC, SEC, and FINRA).
  • Experience in Capital Markets and Asset Management compliance surveillance
  • Interface with compliance officers, business risk officers, legal, and other relevant stakeholders to review, escalate, and resolve potential compliance issues.
  • Enhance surveillance practices and procedures


Qualities Desired:

-Strong analytical writing and communication skills

-Proficiency with the MS Office suite

-Excellent Organizational and time management skills

-Excellent research skills including experience with compliance surveillance tools

Basic Qualifications:

- High School Diploma, GED or Equivalent certification, or military experience

- At least 2 years of compliance experience

Preferred Qualifications:

- Bachelors' Degree

- At least 3-5 years of overall compliance experience in the financial services industry

- At least 3 years of experience supporting, partnering and interacting with internal business clients

- Ability to handle/manage and deliver multiple priorities for different stakeholders.

- FINRA Series 7 and 63

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.


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