Commercial Operations, Securities Operations Associate

Capital One
Plano, Texas
Jun 23, 2022
Jul 23, 2022
Full Time
Plano 1 (31061), United States of America, Plano, Texas

Commercial Operations, Securities Operations Associate

Capital One is looking for an experienced, motivated professional to join a growing brokerage firm. The position will be part of the Commercial Operations team and will involve the processing of functions that include but are not limited to clearing, securities settlements, trade confirmations, funds flow, reporting and various other aspects in support of several lines of business.

The role will be expected to help create processes and procedures and provide training to other associates on securities settlement related issues, while supporting existing products and services. Candidates must possess excellent organizational skills, customer contact and interpersonal skills, along with oral and written communication skills. If candidate does not hold a specific FINRA license needed for this role, you may be required to obtain that license within 3 months from your start date as a condition of employment.

Responsibilities include:
  • Process trade allocations and step-ins
  • Proactively monitor trade settlement and quickly resolve any exceptions causing trades not to settle
  • Work with clearing broker and client back offices to ensure accurate bookings
  • Register, process, and book Asset-Backed Securities for primary offerings
  • Fulfill periodic audit requests from both internal and external auditors
  • Download and review daily trading documentation
  • Assist internal financial operations group with daily, monthly, and quarterly reports
  • Develop further trading operations management processes as needed
  • Data entry and maintenance of customer database
  • Customer trading account opening and maintenance
  • Customer file maintenance and electronic record management of customer files
  • Experience in securities business and familiarity with settlement process
  • Contribute to action plans aimed at increasing operational efficiencies

Work at Home Technology Requirements:
  • A secure home office environment that is free from background noise and distractions
  • A reliable private internet connection that is not supplied by use cellular data (hot spot)
    • Cable or fiber connections are preferred
    • Internet service download speeds must be at least 5 mbps, with 10+ mbps preferred - check your download speed using a speed test. A sample one can be found here . To test your home internet from your personal computer at home, type into the web browser of your personal computer.
    • Sustained ability to maintain latency less than 250 ms in voice calls is required
  • Hard wired connectivity is preferred, any use of wireless connectivity must be Private (non-public) and password protected through WPA2-PSK (AES) encryption. If you have any questions about your encryption, please consult with your internet provider
    • A private network is password protected where you have ownership or line of sight to every device on the network
  • Capital One reserves the right to request proof of internet provider, speed and service package from the associate
  • Requirements are subject to change, as new systems and technology is delivered. Capital One reserves the right to modify internet service requirements with sixty (60) days notice.

Candidates must live within 100 miles driving distance of one of the hub locations based in Plano, TX

Basic Qualifications:
  • High School Diploma, GED, or equivalent certification
  • At least one year of operations experience or at least one year of middle or back office experience

Preferred Qualifications:
  • Bachelor's Degree or military experience
  • FINRA Series 99 license
  • FINRA Series 7 and 57 licenses
  • At least 1 year of experience in Broker Dealer
  • At least 1 year of experience with Asset-Backed Securities
  • At least 1 year of experience working with securities clearing software

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 . 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

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).

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