Associate -Commercial Bank Associate Surveillance Program

Overview

Associate -Commercial Bank Associate Surveillance Program

Associate Risk Specialists 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:

• Familiarity with SEC, FINRA, and CFTC rules and regulations as it relates to permissible and impermissible activity.

• Experience in Capital Markets and Asset Management compliance surveillance 

• Interface with compliance officers, business risk officers, legal, and other relevant stakeholders to review and resolve potential compliance issues

• Excellent written and verbal communication skills 

• Proficiency with G-Suite & Microsoft Office products

• Experience with electronic communication and personal trading surveillance systems 

• Enhance surveillance practices and procedures 

Qualities Desired:

• Strong analytical writing and communication skills

• Proficiency with G-Suite & Microsoft Office products

• Excellent Organizational and time management skills

• Excellent research skills including the ability to use multiple data inputs to assess regulatory risk

Basic Qualifications: 

• Bachelors’ Degree or military experience 

• At least 1 year of compliance experience

Preferred Qualifications: 

• 2+ years of compliance experience in the financial services industry

• 2+ years of experience supporting, partnering and interacting with internal business clients

• Ability to manage and deliver multiple priorities for different stakeholders.

• Familiarity with FINRA regulations 

• FINRA Series 7 or Series 63 License

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

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

McLean, VA: $120,800 - $137,900 for Compliance Advisory Specialist III

New York, NY: $131,800 - $150,500 for Compliance Advisory Specialist III

Richmond, VA: $109,900 - $125,400 for Compliance Advisory Specialist III

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

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. 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.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at Show phone number or via email at View email address on capitalonecareers.com . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to View email address on capitalonecareers.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).