CrawlJobs Logo

Senior Risk Associate, Capital Markets - Regulatory Onboarding

capitalone.com Logo

Capital One

Location Icon

Location:
United States , Charlotte ▼

Category Icon
Category:
Finance

Job Type Icon

Contract Type:
Not provided

Salary Icon

Salary:

87700.00 - 100100.00 USD / Year
Save Job
Save Icon
Apply Position

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
Icon
Capital One - All Job Offers
Job Link Share:
Copy Link Icon
Facebook Icon Twitter Icon LinkedIn Icon

Looking for more opportunities? Search for other job offers that match your skills and interests.

Briefcase Icon

Similar Jobs for Senior Risk Associate, Capital Markets - Regulatory Onboarding

Senior AML Associate

Our mission is to enable everyone to build wealth. We reinvent how trading and i...
Location
Location
Germany , Berlin
Salary
Salary:
Not provided
trading212.com Logo
Trading212
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • A degree in Law, Finance, Compliance, or a related field
  • Demonstrable ongoing learning through completion of relevant external training or certificates
  • Proven experience in a senior legal, compliance, or regulatory policy role within the FinTech, brokerage, investment banking, or capital markets sector with an AML focus
  • Deep practical understanding of key EU/DE financial services and AML laws and regulations (MiFID II, BaFin rules, GWG, MaRisk, etc)
  • Exceptional ability to distill complex, technical legal language into succinct, strategic guidance and operational policies for non-legal business teams
  • Full professional proficiency in English
  • Commitment to learn German, demonstrably to at least B1 standard, within 36-48 months of the employment commencing
Job Responsibility
Job Responsibility
  • Ensure adherence to AML policies and regulatory requirements by embedding best practices in daily operations
  • Initiate, own, and drive technical initiatives, at local and group level, facilitated through exceptional technical expertise
  • Act as BI POC to AML second line functions in the group
  • Support the execution of AML risk assessments and contribute to the implementation of risk controls to address identified issues
  • Strong understanding of AML regulations, including EU, especially German, Cypriot, Irish and UK AML directives, Bafin requirements, and international best practices
  • Implement and maintain AML policies and procedures
  • Prepare and submit comprehensive AML reports to regulatory authorities, ensuring strategic alignment and regulatory adherence
  • Contribute to the drafting review and implementation of AML policies and procedures ensuring they align with current regulatory requirements and best practices
  • Monitor and review AML transaction alerts, escalating and reporting suspicious activities to relevant authorities in line with internal procedures and regulations
  • Ensure both onboarding and ongoing KYC processes comply with regulations and guidelines
What we offer
What we offer
  • Challenges that will help you grow and realize your potential fast
  • Opportunity to make a significant impact - you will build innovative services used by millions of investors to build wealth
  • Work with smart, spirited, helpful, high-performing colleagues with a common goal
  • An environment where nothing is set in stone
  • Appreciation for your talent and ideas
  • Generous remuneration package
  • Fulltime
Read More
Arrow Right
New

Stagiaires audit

Coffra group is one of the first multidisciplinary firms in France deploying suc...
Location
Location
France , Paris
Salary
Salary:
Not provided
coffra-group.com Logo
Coffra Group
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • You are preparing a Master I / Master II, a gap year in Business School, are in a CCA / DSCG course or ideally looking for a final year internship
  • You have initial internships in Finance/Accounting/Management Control
  • You are looking for a 6-month internship in Audit from October 2026 to March 2027 or from January to June 2027
  • You are available for frequent travel in France
  • Student speaking English, ideally with knowledge of German.
Job Responsibility
Job Responsibility
  • Under the supervision of our seniors or managers, you will carry out statutory or contractual audit assignments for an international clientele
  • You will discover the audit profession quickly and completely: audit of simple cycles (fixed assets, purchases/suppliers, sales/customers, bank/financing), circularisations/inventories, analysis of legal documents, assistance in auditing complex cycles, verification of appendices and management reports, interviews with clients, etc.
  • Fulltime
Read More
Arrow Right
New

Onsite Endoscopic Specialist

At KARL STORZ, we are driven by a mission to enhance global health through innov...
Location
Location
United States , Arlington
Salary
Salary:
Not provided
karlstorz.com Logo
KARL STORZ
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • A minimum of high school diploma or equivalent
  • Experience in Sterile Processing, Sales, or other Surgical Technology/Medical role
  • Our successful candidate will have excellent written and spoken English language business communication skills. They will also have demonstrated success working in a collaborative, service-oriented team environment.
  • Effective communicator, collaborative, and effective time management
  • Possess exceptional organizational skills and the ability to multi-task
  • MS Office - proficient user as the role will need to work with Excel spreadsheets and reporting
  • Role requires the completion of a drug screening for safety-sensitive positions
  • Must be able to lift/push/pull up to 25lbs
Job Responsibility
Job Responsibility
  • Face-to-face customer support, including OR, SPD and Biomed
  • Video tower/system set-up and support
  • Inspection, repair, troubleshooting and replacement of KARL STORZ devices
  • Monitoring, reporting, and facilitating repair/ exchange transactions
  • Transporting, cleaning/sterilization and packaging of instruments after use
  • Trouble shoot video and instrument issues in the O.R.
  • Instrument/equipment repair management
What we offer
What we offer
  • Relocation Support
  • Professional Growth & Development
  • Collaborative & Dynamic Work Environment
  • Access to Cutting-Edge Medical Technologies
  • Medical / Dental / Vision including a state-of-the-art wellness program and pet insurance, too
  • 3 weeks vacation, 11 holidays plus paid sick time
  • Up to 8 weeks of 100% paid company parental leave
  • 401(k) retirement savings plan providing a match of 60% of the employee’s first 6% contribution (up to IRS limits)
  • Section 125 Flexible Spending Accounts
  • Life, STD, LTD & LTC Insurance
  • Fulltime
Read More
Arrow Right
New

Pharmacy Technician

We’re building a world of health around every individual — shaping a more connec...
Location
Location
United States , Columbus
Salary
Salary:
17.00 USD / Hour
https://www.cvshealth.com/ Logo
CVS Health
Expiration Date
July 11, 2026
Flip Icon
Requirements
Requirements
  • Must comply with any state board of pharmacy requirements or laws governing the practice of pharmacy, which includes but is not limited to, age, education, and licensure/certification
  • If the state board of pharmacy does not address or mandate a minimum age requirement, must be at least 16 years of age
  • If the state board of pharmacy does not address or mandate a minimum educational requirement, must have a high school diploma or equivalent, or be actively enrolled in high school or high school equivalency program
Job Responsibility
Job Responsibility
  • Living our purpose by following all company SOPs at each workstation to help our Pharmacists manage and improve patient health
  • Following pharmacy workflow procedures at each pharmacy workstation (i.e., production, pick-up, drive-thru, and drop-off) for safe and accurate prescription fulfillment
  • Contributing to positive patient experiences by showing empathy and genuine care: creating heartfelt and personalized moments while serving patients at pick-up, drive-thru, and over the phone
  • keeping patients healthy by offering immunizations and other services at the register and over the phone
  • and demonstrating compassionate care by solving or escalating patient problems
  • Completing basic inventory activities, as permitted by law, and as directed by the pharmacy leadership team, such as accurately putting away medication deliveries and completing cycle counts, returns-to-stocks, waiting bin inventories, etc.
  • Contributing to a high-performing team, embracing a growth mindset, and being receptive to feedback
  • actively seeking opportunities to expand clinical and technical knowledge needed to better assist patients
  • Remaining flexible for both scheduling and business needs, while contributing to a safe, inclusive, and engaging team dynamic
  • voluntarily traveling to stores in the market to work shifts as needed by the business
What we offer
What we offer
  • dental
  • vision
  • wellness resources
  • employee discounts
  • access to certain voluntary benefits
  • other programs
  • Parttime
Read More
Arrow Right
New

Assistant General Manager

Assistant General Manager, at Boston Pizza, one of Canada’s Best Managed Compani...
Location
Location
Canada , Lac La Biche
Salary
Salary:
22.00 - 30.00 CAD / Hour
bostonpizza.com Logo
Boston Pizza
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 1+ year of casual dining experience
  • Previous leadership or supervisory experience is an asset
  • A positive attitude and strong work ethic
  • Excellent communication and team-building skills
  • Ability to thrive in a fast-paced environment
  • A passion for hospitality and guest service
  • Open availability
Job Responsibility
Job Responsibility
  • Support day-to-day operations
  • Lead and motivate the team
  • Ensure an exceptional guest experience
What we offer
What we offer
  • Competitive pay
  • Medical
  • dental benefits
  • Staff accommodations available
  • Flexible scheduling
  • Room to grow within the company
  • Hands-on management training
  • A supportive, close-knit team environment
  • Fulltime
Read More
Arrow Right
New

Territory Manager Upper Body VIC/ACT

Location
Location
Australia , Mount Waverley
Salary
Salary:
Not provided
karlstorz.com Logo
KARL STORZ
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • a Bachelor’s degree in nursing, science, medicine, business or a related discipline highly desirable
  • minimum 5 years sales experience in medical devices and instrumentation highly desirable
  • the ability to understand and impart technical knowledge across a broad portfolio of products
  • the ability to both acquire and develop new business opportunities
  • a strong commitment to sell the Company’s products and achieve company objectives is essential
  • committed to working professionally and ethically at all times
  • proactive self-management in owning your business and driving results
  • demonstrated ability in planning and execution of sales and territory plans
Job Responsibility
Job Responsibility
  • selling and promoting a range of devices and consumables to hospitals within a defined territory
  • prepare sales and territory plans to identify specific commercial opportunities
  • build excellent customer relationships, understand and impart product knowledge and detailed technical information
  • meet customer and territory KPIs
  • maintain a strong customer-centric focus, following through on customer commitments and requests within agreed timeframes
  • conduct regular territory reviews with sales management in conjunction with the Sales Manager
  • ensure the Company’s key products and marketing strategies are effectively implemented in the sales territory
  • follow up on all sales leads and referrals in a timely manner
What we offer
What we offer
  • Leave Benefits (Annual Leave, Sick Leave, Parental Leave, etc.)
  • Transport Allowance (if applicable to role)
  • Onsite Parking
  • Accessibility to Public Transport
  • Flexible Work Arrangements
  • Wellness Programs and Activities
  • Professional Development Opportunities
  • Global Exposure & Business Travel Opportunities (if applicable to role)
  • All other statutory benefits
  • Fulltime
Read More
Arrow Right
New

Pharmacy Technician

We’re building a world of health around every individual — shaping a more connec...
Location
Location
United States , Fort Worth
Salary
Salary:
16.50 - 25.00 USD / Hour
https://www.cvshealth.com/ Logo
CVS Health
Expiration Date
July 11, 2026
Flip Icon
Requirements
Requirements
  • Must comply with any state board of pharmacy requirements or laws governing the practice of pharmacy, which includes but is not limited to, age, education, and licensure/certification
  • If the state board of pharmacy does not address or mandate a minimum age requirement, must be at least 16 years of age
  • If the state board of pharmacy does not address or mandate a minimum educational requirement, must have a high school diploma or equivalent, or be actively enrolled in high school or high school equivalency program
  • State-level licensure and national certification requirements vary by state
Job Responsibility
Job Responsibility
  • Living our purpose by following all company SOPs at each workstation to help our Pharmacists manage and improve patient health
  • Following pharmacy workflow procedures at each pharmacy workstation (i.e., production, pick-up, drive-thru, and drop-off) for safe and accurate prescription fulfillment
  • Contributing to positive patient experiences by showing empathy and genuine care: creating heartfelt and personalized moments while serving patients at pick-up, drive-thru, and over the phone
  • keeping patients healthy by offering immunizations and other services at the register and over the phone
  • and demonstrating compassionate care by solving or escalating patient problems
  • Completing basic inventory activities, as permitted by law, and as directed by the pharmacy leadership team, such as accurately putting away medication deliveries and completing cycle counts, returns-to-stocks, waiting bin inventories, etc.
  • Contributing to a high-performing team, embracing a growth mindset, and being receptive to feedback
  • actively seeking opportunities to expand clinical and technical knowledge needed to better assist patients
  • Remaining flexible for both scheduling and business needs, while contributing to a safe, inclusive, and engaging team dynamic
  • voluntarily traveling to stores in the market to work shifts as needed by the business
What we offer
What we offer
  • dental
  • vision
  • wellness resources
  • employee discounts
  • access to certain voluntary benefits
  • Parttime
Read More
Arrow Right
New

Senior Software Engineer II, Kora Compute

We’re not just building better tech. We’re rewriting how data moves and what the...
Location
Location
Canada , Ontario
Salary
Salary:
179200.00 - 210600.00 CAD / Year
confluent.io Logo
Confluent
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • BS, MS, or PhD in computer science or a related field, or equivalent work experience
  • 4+ years of relevant cloud infrastructure/cloud networking experience
  • Strong fundamentals in distributed systems design and development
  • Experience building and operating large-scale systems in the Cloud
  • Solid understanding of basic systems operations (disk, network, operating systems, etc)
  • A self starter with the ability to work effectively in teams
  • Proficiency in Java, Scala, C/C++, Go or other statically typed languages
Job Responsibility
Job Responsibility
  • Driven and excited about challenges of delivering complex projects in production with a focus on quality
  • Customer focused - making customers more successful by taking on their most challenging problems motivates you
  • Have a strong sense of teamwork and able to make decisions which benefit the team and company
  • Identify root causes, and get beyond treating symptoms - motivated to dig deep and solve hard problems
What we offer
What we offer
  • Remote-First Work
  • Robust Insurance Benefits
  • Flexible Time Away
  • The Best Teammates
  • Experience Ambassadors
  • Open and Honest Culture
  • Well-Being and Growth
  • Fulltime
Read More
Arrow Right