Trade Surveillance Manager (Broker-Dealer & Swap Dealer)
Capital One
About this role
The Trade Surveillance Manager will lead and enhance the firm’s surveillance program across institutional Broker-Dealer and Swap Dealer businesses. This role is responsible for overseeing day-to-day surveillance operations, maintaining controls around monitoring trading activity, and ensuring compliance with SEC, FINRA, CFTC, and NFA requirements. The position partners with Compliance, Legal, Technology, and Risk teams and supports regulatory and audit engagements.
Skills
Qualifications
About Capital One
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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About Capital One
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
Unlock Company Insights
View leadership team, funding history,
and employee contacts for Capital One.
Salary
$166k – $189k
per year