Senior Associate, Risk Specialist - eComm Surveillance Population Management

Overview

Senior Associate, Risk Specialist – eComm Surveillance Population Management

Capital One is seeking a highly motivated, detail-oriented Senior Associate Risk Specialist to serve as the operational backbone of the Commercial Bank’s Associate Surveillance Program. In this role, you will focus heavily on population management, onboarding/offboarding workflows, and data reconciliation. Your mission is to ensure all monitored associates specifically within our Broker-Dealer and Swap Dealer business lines are accurately identified, tracked, and correctly provisioned within our surveillance systems.

If you thrive on data integrity, process optimization, and cross-functional collaboration in a fast-paced regulatory environment, this is the perfect opportunity for you.

Key Responsibilities

• Population Management & Governance: Maintain the definitive, golden-source inventory of the monitored employee population. Actively track internal transfers, role changes, and status updates to guarantee continuous regulatory compliance coverage.

• Onboarding & Offboarding Orchestration: Partner seamlessly with key stakeholder teams (including Licensing & Registration, Swap Dealer/Broker Dealer Advisory,Tech and Mobility) to manage the end-to-end lifecycle of monitored associates, ensuring surveillance tracking initiates and terminates precisely on schedule.

• System Provisioning & Access Verification: Validate that newly onboarded associates are flawlessly configured across all compliance surveillance tools, databases, and communication channels from day one.

• Data Reconciliation: Design and execute rigorous daily, weekly, and monthly reconciliation processes between internal data feeds and surveillance system rosters to proactively identify, investigate, and remediate any gaps or anomalies.

• Cross-Functional Collaboration: Serve as the primary point of contact for internal business partners regarding population scoping, access issues, and roster data discrepancies.

• Process Innovation: Collaborate with leadership and technical teams to streamline workflow pipelines, automate manual reconciliation tasks, and refine operational procedures.

• Incident Escalation: Promptly identify and flag operational gaps, technical setup failures, or potential compliance risks regarding population tracking to team leadership for immediate review.

The Ideal Candidate Will Demonstrate:

• Strong Analytical & Data Reconciliation Skills: Proven ability to analyze large employee datasets, spot systemic discrepancies, and resolve complex roster anomalies.

• Advanced Data Tool Proficiency: High comfort level with G-Suite and Microsoft Excel (e.g., VLOOKUPs, XLOOKUPs, pivot tables, data cleaning formulas).

• Process & Workflow Excellence: Exceptional organizational skills with a track record of managing high-volume queues without sacrificing attention to detail.

• Effective Communication: Ability to articulate complex data issues clearly to both technical teams and non-technical business partners.

• Risk Mindset: A foundational understanding of financial services compliance, regulatory environments, or employee monitoring programs.

Basic Qualifications

• Bachelor’s Degree or military experience

• At least 2 years of experience in operations, process management, data reconciliation, or Compliance onboarding workflows

• At least 2 years of experience utilizing G-Suite or Microsoft Office for data tracking, reporting, or analysis

Preferred Qualifications

• 3+ years of experience in compliance operations, data integrity, or HR operations within a financial services institution

• Familiarity with the operational tracking required under financial regulatory frameworks (managing monitored populations under FINRA, SEC, or CFTC guidelines)

• Experience utilizing data management systems or specialized compliance surveillance tools to manage user permissions and communication groups

• Experience partnering with internal business clients and technical teams to automate manual operational processes

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: $96,500 - $110,100 for Compliance Advisory Specialist II

New York, NY: $105,300 - $120,100 for Compliance Advisory Specialist II

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.

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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).