Risk Specialist - Associate Level

Risk Specialist - Associate Level
Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked 82nd on the Fortune 500, Capital One is one of the nation's top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.
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.
This position will work with a team of professionals to assist in the management of Commercial Bank's Insider Trading Monitoring Program (ITMP) and Control Room operations, ensuring adherence to regulatory requirements and internal policies.
Responsibilities:

• Assist with case management, review and process personal brokerage account trade requests, brokerage account opening approvals, and exception requests.
• Evaluate and process brokerage and trade exception requests, monitor electronic data feeds, and perform routine account and securities reconciliations.
• Facilitate user and system administration, guide associate onboarding and offboarding, and provide training to new monitored associates.
• Support Global Control Room operations, monitor data import files, assist with system maintenance and restricted list management
• Maintain clear, current associate communications and guidance, regularly review and update internal process documentation, and track and analyze compliance metrics.

Skills:

• 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
• 2+ years working in a broker dealer control room or personal brokerage account monitoring program
• 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, or offer any immigration related support for this position (e.g. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-3, and O-1, or any other forms of work authorization that require immigration support from an employer).
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: $81,700 - $93,300 for Compliance Advisory Specialist I
New York, NY: $89,200 - $101,700 for Compliance Advisory Specialist I
Richmond, VA: $74,200 - $84,700 for Compliance Advisory Specialist I
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 1-800-304-9102 or via email at [email protected] . 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 [email protected]
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).