Senior Risk Associate, Capital Markets - Regulatory Onboarding

Capital One Financial

Actively hiring
Charlotte, Nc, US Posted 66 days ago $87,700–$100,100 / year
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At a glance

AI generated

TL;DR

Capital One Commercial Bank Operations is hiring a Senior Risk Associate to join its Regulatory Operations Onboarding team in Richmond, VA, Plano, TX, or Charlotte, NC. This role involves managing the onboarding of new customers for Capital One's Derivatives and Securities sales and trading business, ensuring compliance with CFTC, FINRA, and other regulatory requirements. Day-to-day responsibilities include conducting due diligence reviews, coordinating with internal teams to set up accounts, and optimizing processes while maintaining strong communication skills. The ideal candidate will have at least three years of experience in financial services, including derivatives products, securities, KYC/AML, and client onboarding. Proficiency in regulatory compliance, critical thinking, and the ability to work independently or collaboratively are essential.

Skills

Python SQL Excel RegEx FINRA Risk Management KYC AML Derivatives Products ISDA Definitions Dodd-Frank Title VII Securities Products Client Onboarding Project Management CI/CD

What you'll do

  • Perform due diligence review and validation of onboarding documentation for accuracy and regulatory compliance.
  • Consult with Front Office and external customers on onboarding requirements and policies.
  • Facilitate account setup in system of records with internal teams such as Derivatives Operations, COS Operations, and Collateral.
  • Manage onboarding documentation and ensure they are uploaded into the record keeping depository.
  • Regularly review and optimize workflows to enhance client experience and regulatory compliance.

What we're looking for

  • At least 3 years of experience in Financial Services.
  • 2+ years of experience with derivatives products and Dodd-Frank Title VII compliance.
  • 2+ years of experience with securities products and FINRA rules.
  • 2+ years of experience in KYC and AML processes.
  • Strong communication skills, attention to detail, and critical thinking abilities.

Market check

Salary context

This $87,700–$100,100 range sits above 2% of similar postings on FindRole.

Peer median band

$132,500–$195,000

Median floor and ceiling across peers.

Typical midpoint (25–75%)

$128,781–$216,300

Middle half of comparable postings.

Based on 240 comparable postings.

* 240 is the maximum number of comparable postings sampled.

Employer

About Capital One Financial

Capital One Financial is a bank holding company specializing in credit cards, auto loans, banking, and savings products, known for its data-driven approach to consumer and commercial finance. Industry: Financial Services & Banking

Capital One Financial currently has 489 open roles on FindRole.

Listed pay typically runs $197,300–$225,100 across 483 roles with salary data.

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