Senior Associate, Capital Markets Onboarding

Capital One
Melville, New York
Sep 08, 2022
Sep 28, 2022
Full Time
1307 Walt Whitman (22600), United States of America, Melville, New York

Senior Associate, Capital Markets Onboarding

Are you looking for a challenging role that includes the convenience of working virtually at home? Then a Capital One Commercial Ops role may be the role for you! You must be within 100 miles driving distance from one of our Capital One hubs in Melville, NY, McLean, VA, Richmond, VA or Plano, TX.

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

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 Melville, NY, McLean, VA, Richmond, VA or Plano, TX.

Basic Qualifications:
  • High School Diploma, GED or equivalent certification
  • At least 3 years of experience in Financial Services

Preferred Qualifications:
  • 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 . 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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