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/or other regulatory requirements, while providing our customers with an unassailable onboarding experience.
Role & 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
High School Diploma, GED or equivalent certification
At least 3 years of experience in Financial Services
Bachelor’s Degree or Military experience
At least 2 years of experience with derivatives products, ISDA Definitions, and Dodd-Frank Title VII
At least 2 years of experience with securities products and FINRA rules
At least 2 years of experience in KYC (Know Your Customer) or AML (Anti-Money Laundering)
At least 2 years of experience with Client Onboarding
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. 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 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.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 Careers@capitalone.com
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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).
Who We Are
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.