at Capital One Services II, LLC in Wilmington, Delaware, United States
*Job ID:* R109337
800 Delaware Avenue (18056), United States of America, Wilmington, Delaware
Senior Associate, Capital Markets Onboarding - Wilmington, DE - New York City - Melville, NY
Capital One Commercial Bank Operations is seeking a dynamic, experienced professional to join the Regulatory Operations Onboarding team as a Senior Associate. 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.
Role & Responsibilities:
* 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
* 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
* High School Diploma, GED or equivalent certification
* At least 3 years of experience in Financial Services
* Bachelor's Degree or Military experience
* At least 2 years of experience with derivatives products, ISDA Definitions, and Dodd-Frank Title VII
* At least 2 years of experience with securities products and FINRA rules
* At least 2 years of experience in KYC (Know Your Customer) or AML (Anti-Money Laundering)
* At least 2 years of experience with Client Onboarding
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.
All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.
Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
Capital One Services II, LLC
300 Delaware Ave Ste 900
Wilmington, Delaware 19801