Description
Capital One is seeking a highly motivated, detail-oriented Senior Associate Risk Specialist to serve as the operational backbone of the Commercial Bank's Associate Surveillance Program.
In this role, you will focus heavily on population management, onboarding/offboarding workflows, and data reconciliation. Your mission is to ensure all monitored associates specifically within our Broker-Dealer and Swap Dealer business lines are accurately identified, tracked, and correctly provisioned within our surveillance systems.
If you thrive on data integrity, process optimisation, and cross-functional collaboration in a fast-paced regulatory environment, this is the perfect opportunity for you.
Key Responsibilities
- Population Management & Governance: Maintain the definitive, golden-source inventory of the monitored employee population. Actively track internal transfers, role changes, and status updates to guarantee continuous regulatory compliance coverage.
- Onboarding & Offboarding Orchestration: Partner seamlessly with key stakeholder teams to manage the end-to-end lifecycle of monitored associates, ensuring surveillance tracking initiates and terminates precisely on schedule.
- System Provisioning & Access Verification: Validate that newly onboarded associates are flawlessly configured across all compliance surveillance tools, databases, and communication channels from day one.
- Data Reconciliation: Design and execute rigorous daily, weekly, and monthly reconciliation processes between internal data feeds and surveillance system rosters to proactively identify, investigate, and remediate any gaps or anomalies.
- Cross-Functional Collaboration: Serve as the primary point of contact for internal business partners regarding population scoping, access issues, and roster data discrepancies.
- Process Innovation: Collaborate with leadership and technical teams to streamline workflow pipelines, automate manual reconciliation tasks, and refine operational procedures.
- Incident Escalation: Promptly identify and flag operational gaps, technical setup failures, or potential compliance risks regarding population tracking to team leadership for immediate review.
The Ideal Candidate Will Demonstrate:
- Strong Analytical & Data Reconciliation Skills: Proven ability to analyse large employee datasets, spot systemic discrepancies, and resolve complex roster anomalies.
- Advanced Data Tool Proficiency: High comfort level with G-Suite and Microsoft Excel.
- Process & Workflow Excellence: Exceptional organisational skills with a track record of managing high-volume queues without sacrificing attention to detail.
- Effective Communication: Ability to articulate complex data issues clearly to both technical teams and non-technical business partners.
- Risk Mindset: A foundational understanding of financial services compliance, regulatory environments, or employee monitoring programs.
Basic Qualifications
- Bachelor's Degree or military experience
- At least 2 years of experience in operations, process management, data reconciliation, or Compliance onboarding workflows
- At least 2 years of experience utilising G-Suite or Microsoft Office for data tracking, reporting, or analysis
Preferred Qualifications
- 3+ years of experience in compliance operations, data integrity, or HR operations within a financial services institution
- Familiarity with the operational tracking required under financial regulatory frameworks
- Experience utilising data management systems or specialised compliance surveillance tools to manage user permissions and communication groups
- Experience partnering with internal business clients and technical teams to automate manual operational processes
Benefits
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.