Sr. Risk Associate-Capital Markets Risk Advisor

Capital One
New York, New York, United States
Sep 10, 2023
Oct 10, 2023
Full Time
NYC 299 Park Avenue (22957), United States of America, New York, New York

Sr. Risk Associate-Capital Markets Risk Advisor

Commercial Risk is the first line of defense managing Non-Credit risk across the Commercial Bank lines of business, and its Risk Officers are accountable for managing all facets of operational risk by providing risk services to our business partners. This associate will join the Capital Markets Risk Advisors Team in their day-to-day activities to help manage non-credit risk for the Capital Markets line of business, with a specific focus on the securities businesses within the registered broker-dealer.

As a Senior Associate on the Capital Markets Risk Advisor Team, your role will require excellent communication and interpersonal skills; the ability to work autonomously, identify areas of opportunity, and manage to changing priorities. Strong problem solving, integrative thinking, prioritization and communication skills are essential for success in the role. Additionally, building partnerships with multiple business stakeholders in ORM, Compliance, Technology, Operations, the Securities Underwriting and Securities Sales, Research & Trading businesses, as well as teams within the broader Commercial Risk organization, are critical.

Job Responsibilities:
  • As a first line of defense liaison, coordinate business interactions that add value and optimize efficiency for business leaders
  • Manage tasks and activities related to proactive risk management initiatives to reduce the residual risk within the business
  • Support the Lead Capital Markets Risk Advisor with ad-hoc deliverables and investigations
  • Deliver materials requested in audits and exams with various stakeholders across the lines of defense
  • Provide excellent service to both business partners and teammates throughout the Commercial Bank
  • Execute processes and deliverables that support internal governance
  • Manage, implement and deliver on a subset of the program deliverables including drafting communications, writing and editing policies, procedures, business continuity plans, audit remediation responses, etc.
  • Act as issue manager on all events and issues related to the business, including coordination of remediation activities
  • Create, edit and manage multiple facets of business unit risk reporting
  • Aid in the execution of process, product and business unit-level risk and control assessments

Basic Qualifications:
  • Bachelor's Degreeor Military experience
  • At least 2 year of experience in Capital Markets

Preferred Qualifications:
  • At least 4 years of proficient experience creating and maintaining information in Microsoft Office (PowerPoint, Excel, and Word) or Google Suite (Slides, Sheets, and Docs)
  • At least 2 years of experience in Risk Management, Compliance, Audit or Operations
  • Experience covering a registered broker-dealer securities business and addressing FINRA requirements

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.

New York City (Hybrid On-Site): $99,500 - $113,600 for Sr. Risk Associate

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.

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).