Capital One · 18 hours ago
Senior Risk Associate (Trade Surveillance)
Richmond, VA
Full-time
Onsite
Mid, Senior Level
$105K/yr - $120K/yr
3+ years expCapital One is a financial services company seeking a Senior Risk Associate to support their broker dealer trade surveillance program. The role involves reviewing trade alerts, updating procedures, and ensuring compliance to identify and mitigate potential risks.
Financial Services
No H1B
Responsibilities
Procedure and Parameter Review: Analysts review and update procedures and parameters within the Validus platform and run curated test scenarios to ensure the adequacy of trade surveillance
Alert Review and Escalation: Analysts review all trade alerts generated by the Validus system. Alerts are expected to be resolved within 30 days, and any potential violations are escalated according to an escalation matrix
Documentation of Reviews: All trade alert reviews are documented within the Validus platform, with evidence of reviews including a "resolved" status and a rationale for the disposition of the alert
Secondary Review and Managerial Oversight: If an analyst determines an alert poses a potential trading violation or needs additional help, it is raised to a supervisor for a secondary review. The Head of Surveillance Program also performs monthly managerial reviews to ensure appropriate dispositioning of trade alerts
Data Completeness and Accuracy: Periodically conduct reviews to ensure the completeness and accuracy of trade data transmitted to the surveillance system, including checks between Bloomberg TOMS and Eventus
Qualification
Required
Bachelor's degree or military experience
At least 3 years of compliance trade surveillance experience
Preferred
4+ years of experience within an asset backed securities or other fixed income securities broker dealer trade surveillance function
3+ years of experience supporting, partnering, and interacting with internal business clients
Strong analytical and communication skills
Proficiency in Microsoft 365, Google Workspace and aptitude to learn various compliance systems
Excel when working both independently and as part of a team
Be flexible and capable with the scope of work (small, medium, large efforts)
Excellent organizational and time management skills
Ability to handle and deliver multiple priorities
FINRA Series 7 license
Benefits
Capital One offers a 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
2026-01-25
2026-01-25
2026-01-25
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