Senior Risk Associate (Trade Surveillance)
Capital(25 days ago)
About this role
The Senior Risk Associate supports Capital One’s broker dealer trade surveillance program, focusing on identifying and mitigating potential risks through various compliance tools and methods. The role involves reviewing trade alerts, maintaining documentation, and ensuring data accuracy within the trade surveillance system.
Required Skills
- Trade Surveillance
- Compliance
- Risk Management
- Data Analysis
- Financial Analysis
- Microsoft 365
- Google Workspace
- Excel
- Asset Backed Securities
- Fixed Income Securities
Qualifications
- Bachelor’s degree
- 3+ years of compliance trade surveillance experience
- FINRA Series 7 license
About Capital
capitalonecareers.comYou’re tenacious and driven, so the last place you want to work is some boring bank. Same. Learn about careers at Capital One and view jobs here.
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