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Senior Risk Associate, Capital Markets - Regulatory Onboarding

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Capital One

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Location:
United States , Charlotte ▼

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Category:
Finance

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Contract Type:
Not provided

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Salary:

87700.00 - 100100.00 USD / Year
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Job Description:

Senior Risk Associate, Capital Markets - Regulatory Onboarding. 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 other regulatory requirements, while providing our customers with an unassailable onboarding experience.

Job Responsibility:

  • 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

Requirements:

  • High School Diploma, GED or equivalent certification
  • At least 3 years of experience in Financial Services
  • Bachelor’s Degree or Military experience (Preferred)
  • 2+ years of experience with derivatives products, ISDA Definitions, and Dodd-Frank Title VII (Preferred)
  • 2+ years of experience with securities products and FINRA rules (Preferred)
  • 2+ years of experience in KYC (Know Your Customer) or AML (Anti-Money Laundering) (Preferred)
  • 2+ years of experience with Client Onboarding (Preferred)
  • Must be within 50 miles driving distance from one of our Capital One hubs in Richmond, VA/ Plano, TX/ or Charlotte, NC
  • A secure home office environment that is free from background noise and distractions
  • A reliable private internet connection that is not supplied via cellular data or hotspot
  • A private network that is password protected where you have ownership or line of sight to every device on the network
  • Internet service must be provided by Cable or fiber Internet Service Provides (ISP)
  • ISP download speeds on VPN must be at least 5Mbps, with 10+ Mbps preferred

Nice to have:

  • Bachelor’s Degree or Military experience
  • 2+ years of experience with derivatives products, ISDA Definitions, and Dodd-Frank Title VII
  • 2+ years of experience with securities products and FINRA rules
  • 2+ years of experience in KYC (Know Your Customer) or AML (Anti-Money Laundering)
  • 2+ years of experience with Client Onboarding
What we offer:
  • performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
  • comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being

Additional Information:

Job Posted:
March 25, 2026

Employment Type:
Fulltime
Work Type:
Remote work
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