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Capital One · 17 hours ago

Capital Markets Senior Associate

Plano, TX

Full-time

Hybrid

Mid, Senior Level

$81K/yr - $92K/yr

3+ years exp

Capital One is a growing brokerage firm looking for an experienced professional to join their Commercial Operations team. The role involves processing trade settlements, managing M&A operations, and providing training while ensuring operational efficiency.

BankingCredit CardsFinanceFinancial Services

Comp. & Benefits

No H1B

Responsibilities

Process trade allocations and step-ins

Proactively monitor trade settlement and quickly resolve any exceptions causing trades not to settle

Work with clearing broker and client back offices to ensure accurate bookings

Process Derivative Transactions (Commodities, FX and Interest Rates)

Fulfill periodic audit requests from both internal and external auditors

Download and review daily trading documentation

Assist internal financial operations group with daily, monthly, and quarterly reports

Develop further trading operations management processes as needed

Data entry and maintenance of customer database

Customer trading account opening and maintenance

Customer file maintenance and electronic record keeping management of customer files

M&A deal onboarding; deal closing; deal archiving

M&A deal regulatory documentation and filing into official system of record

M&A regulatory notifications

Update deal statuses in official system of record to kick off notification to partners to begin process

Conduct monthly reconciliation of M&A deals

Upload M&A deal documents into official system of record to provide notification to partners

Experience in securities business and familiarity with settlement process

Exposure to M&A operations

Exposure to Derivatives Operations and trade life cycles

Experience with Regulatory Reporting

Contribute to action plans aimed at increasing operational efficiencies

Qualification

FINRA Series 7Securities settlementMergersAcquisitionsAsset-Backed SecuritiesBroker Dealer experienceSecurities clearing softwareCustomer contactOperational efficienciesOrganizational skillsInterpersonal skillsOral communicationWritten communication

Required

High School Diploma, GED, or equivalent certification

At least 3 years of operations experience

At least 3 years of Middle, Back Office or Settlement experience

Excellent organizational skills

Customer contact and interpersonal skills

Oral and written communication skills

Must be within 50 miles driving distance from one of our Capital One hubs in Charlotte, NC or Plano, TX

If a candidate does not hold a specific FINRA license needed for this role, you may be required to obtain that license within 3 months from your start date as a condition of employment

Experience in securities business and familiarity with settlement process

Exposure to M&A operations

Exposure to Derivatives Operations and trade life cycles

Experience with Regulatory Reporting

Contribute to action plans aimed at increasing operational efficiencies