Capital One · 1 month ago
Trade Surveillance Manager (Broker-Dealer & Swap Dealer)
New York, NY
Full-time
Onsite
Senior Level
$159K/yr - $182K/yr
5+ years expCapital One is seeking a highly skilled Trade Surveillance Manager to lead and enhance the firm’s surveillance program across its institutional Broker-Dealer and Swap Dealer businesses. This role involves overseeing surveillance operations, maintaining compliance with regulatory requirements, and managing a team of analysts.
Financial Services
No H1B
Responsibilities
Lead daily surveillance operations for both Broker-Dealer and Swap Dealer trading activities
Oversee the maintenance and enhancement of surveillance procedures, scenarios, and parameter settings within the trade surveillance platform
Ensure the surveillance program aligns with regulatory expectations and internal risk frameworks
Oversee timely review and disposition of all surveillance alerts, ensuring resolution within established timeframes
Manage the escalation of potential trading violations in accordance with the firm’s escalation matrix
Perform secondary reviews on alerts escalated for supervisory attention or potential rule breaches
Ensure complete and accurate documentation of all alert reviews, including disposition rationale and supervisory evidence
Support monthly managerial review processes and prepare surveillance metrics and reporting for senior management
Oversee periodic data completeness and accuracy checks for both BD and SD surveillance
Ensure reconciliations between trading systems of record and trade surveillance platform are completed and exceptions addressed
Participate in scenario testing, calibration reviews, and overall system governance
Support internal audits and regulatory examinations and inquiries (SEC, FINRA, CFTC, NFA), including documentation of responses and remediation efforts
Manage, train, and develop surveillance analysts, fostering a culture of compliance, well-managed, and continuous improvement
Collaborate with Compliance, Legal, Technology, Risk, and business partners to resolve issues and enhance program effectiveness
Participate in industry groups
Qualification
Required
Bachelor's Degree in Finance or any other quantitative field, (Business, Math, Economics, Finance, Statistics, Science, Engineering) or military experience
At least 5 years of trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker-Dealer or Swap Dealer environment
Preferred
Advanced degree
6+ years of trade surveillance, market regulation, or 6+ years compliance experience within a Broker-Dealer or Swap Dealer environment
Relevant certifications (FINRA Series 7/24, NFA Swap Dealer Associated Person proficiency)
Strong understanding of SEC, FINRA, CFTC, and NFA rules governing market conduct, manipulation
Experience with rule-based surveillance platforms (Actimize, Validus, Protegent)
Proven leadership experience with the ability to manage and develop a high-performing team
Excellent analytical, communication, and documentation skills
Ability to manage multiple priorities in a fast-paced, regulated environment
Benefits
Comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being
Company
Capital One
Capital One is a financial services company that provides banking, credit card, auto loan, savings, and commercial banking services.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$5.45BKey Investors
Berkshire Hathaway
2025-09-11Post Ipo Debt· $2.75B
2025-01-30Post Ipo Debt· $1.75B
2023-05-15Post Ipo Equity· $954M
Leadership Team
Daniel Arellano
Senior Vice President, Business Cards and Payments
Justin Burch
Senior Vice President
Recent News
2026-01-24
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