Capital Markets Onboarding Associate
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Wilmington, DE 19806
800 Delaware Avenue (18056), United States of America, Wilmington, Delaware
At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.
Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.
Capital Markets Onboarding Associate
Capital One Commercial Bank Operations is seeking a dynamic, experienced professional to join the Regulatory Operations Onboarding team. 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/or other regulatory requirements, while providing our customers with an unassailable onboarding experience.
Roles and responsibilities include:
+ 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
The ideal candidate will have:
+ Strong communication skills (both written and oral)
+ Attention to detail and a sense of urgency in escalating and resolving outstanding issues
+ Critical thinking skills and demonstrated ability to independently analyze problems and synthesize and implement solutions
+ Focus on achieving both short and long-term goals. (Candidate should be able to drive and execute an agenda in an uncertain and fluid environment)
+ Ability to integrate business fundamentals, technology skills, and project management to deliver results
+ Investigative mindset and is unafraid of fast failing to determine what doesn’t work instead of focusing solely on what is working
+ The propensity to thrive under conditions of uncertainty and ambiguity
+ Ability to work effectively both in a team environment or independently
+ Bachelor’s degree or Military experience
+ At least 1 year of experience in Financial Services
+ Knowledge of derivatives products, ISDA Definitions, and Dodd-Frank Title VII
+ Knowledge of securities products and FINRA rules
+ Knowledge of KYC (Know Your Customer)/ AML (Anti-Money Laundering)
+ Client Onboarding experience
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.