Director, Head of Global Control Room and Compliance Surveillance

Capital One
New Orleans, Louisiana, United States
Dec 05, 2022
Dec 17, 2022
Full Time
Place St Charles (37701), United States of America, New Orleans, Louisiana

Director, Head of Global Control Room and Compliance Surveillance

As the Director - Head of Global Control Room and Compliance Surveillance - on Capital One's Commercial Compliance Team you will manage Capital One's Commercial Bank's Global Control Room, Insider Trading Monitoring Program, Electronic Communications Surveillance Program, and Trade Surveillance for Capital One's Swap Dealer and Broker, Dealers. You will lead a team of Risk Specialists responsible for managing the aforementioned functions, performing quality assurance, enforcing the firm's information barriers, and reporting metrics on a routine basis.

Directors at Capital One are highly motivated Risk Management professionals with excellent management and communication skills. They have a high level of exposure across lines of business and the opportunity to work with Executives to create and implement innovative solutions to identify and mitigate potential risks to the Company.

Critical Competencies:
  • Highly organized, detail-oriented, and energetic
  • Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners.
  • Ability to communicate effectively at all levels both orally and in writing
  • Capable of operating comfortably within a complex organizational structure
  • Exercises excellent business judgment, problem solving and decision-making skills
  • Self-starter with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments
  • Works effectively in both a team environment and independently
  • Ability to manage complex projects and tasks simultaneously in a deadline-intensive environment

This role will maintain all organizational and professional ethical standards and has latitude for independent judgment and decision-making.

  • Oversight of the Global Control Room responsibilities, which includes: monitoring and controlling the flow of material non-public information throughout the organization, determining associate (public, private) side designations, facilitating associate personal account disclosures and attestations, facilitating preclearance of personal transactions, providing guidance regarding physical and electronic segregation and procedural information barrier advice, conducting wall crossings, maintaining the firm's watch and restricted lists, implementing restrictions on sales, trading and research restrictions and personal account dealing as appropriate, performing research clearance, and trade surveillance.
  • Oversight of monitoring electronic communications records and voice recording (as applicable) for the Interest Rate, Foreign Exchange Commodities derivatives trading groups and the institutional broker dealers.
  • Oversight of monitoring trade surveillance for Interest Rate, Foreign Exchange Commodities derivatives, and equity trading teams.
  • Manage and continually improve the programs, conduct reviews, operating procedures and establish & monitor controls for surveillance
  • Define business requirements for technology implementation (new capabilities, vendor services)
  • Work with technology groups to implement and test technology solutions to meet business requirements, as defined by Risk partners
  • Establish data quality control and operations
  • Oversee and manage the onboarding and offboarding process of technology platforms
  • Responsible for reviewing records handling first level review and escalation of unresolved issues to Desk Heads and Compliance
  • Oversight of permitted communications between public and private side associates including investment banking, research and institutional sales, which includes the chaperoning of permissible communications
  • Provide subject matter expertise, advice and guidance on issues, rules and regulations applicable to information barriers, investment banking and capital markets activity, research independence, disclosure of interest and conflicts of interest.
  • Manage the maintenance of policies, procedures and guidance designed to document, operating procedures and to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.
  • Assist the team in identifying and escalating issues through formal escalation channels, and facilitating timely and effective resolution
  • Perform periodic quality assurance of subordinate review
  • Produce routine metrics for management reporting
  • Independently manage routine internal audits and regulatory inquiries and examination requests and responses
  • Independently manage projects necessary to support initiatives both within the Compliance Department and across the firm globally

Basic Qualifications:
  • At least 5 years or more of full-time relatable experience in compliance, legal, audit, project management, finance or regulatory experience in the financial services industry
  • At least 3 years of experience as a people manager
  • Bachelor's Degree or Military Experience

Preferred Qualifications:
  • At least 10 years or more of full-time relatable experience in compliance, legal, audit, project management, finance or regulatory experience in the financial services industry
  • Master's Degree or Juris Doctor from an accredited university
  • At least 5 years of experience as a people manager
  • Process management skills and experience in designing and implementing complex technology driven initiatives
  • Series 7, Series 9/10 or 24 (or the ability to obtain within 12 months of hire)

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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.

Location is New York City

- $195,800 and $231,000 for Director, Risk Management

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.

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.

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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).