Capital One Careers – Associate Risk Specialist

Job Description:

Associate Risk Specialists at Capital One are highly motivated Risk Management professionals with excellent organizational and communication skills. They have a high level of exposure across multiple lines of business as well as the opportunity to create and implement innovative solutions to identify and mitigate potential risks to the Company using various compliance surveillance tools and methods. This position will work with a team of professionals to assist in the management of Capital One Commercial Bank’s Associate Surveillance Program. This role will be responsible for the day to day review of alerts generated from various surveillance tools.

Job Responsibilities:

• Experience in Capital Markets and Asset Management compliance surveillance
• Enhance surveillance practices and procedures
• Proficiency with G-Suite & Microsoft Office products
• Experience with electronic communication and personal trading surveillance systems
• Excellent written and verbal communication skills
• Familiarity with SEC, FINRA, and CFTC rules and regulations as it relates to permissible and impermissible activity.
• Interface with compliance officers, business risk officers, legal, and other relevant stakeholders to review and resolve potential compliance issues

Job Requirements:

• Proficiency with the MS Office suite
• Excellent Organizational and time management skills
• Excellent research skills including experience with compliance surveillance tools
• Strong analytical writing and communication skills

Qualification & Experience:

• High School Diploma, GED or Equivalent certification
• Bachelors’ Degree
• At least 2 years of compliance experience
• At least 3 years of compliance experience in the financial services industry

Job Details:

Company: Capital One

Vacancy Type:  Full Time

Job Location: Houston, TX, US

Application Deadline: N/A

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