Senior Associate, Risk Specialist – eComm Surveillance Population Management

. Maintain the definitive inventory of monitored employees within Broker-Dealer and Swap Dealer business lines .

Posted 9/25/2026full-timeUnited StatesSenior💰 $87,700 - $120,100 per yearWebsite

Key responsibilities & impact

Maintain the definitive inventory of monitored employees within Broker-Dealer and Swap Dealer business lines
Track internal transfers, role changes, and status updates for regulatory compliance coverage
Manage end-to-end onboarding and offboarding workflows for monitored associates
Coordinate with Licensing & Registration, Swap Dealer/Broker Dealer Advisory, Technology, and Mobility teams
Validate provisioning across compliance surveillance tools, databases, and communication channels
Design and execute daily, weekly, and monthly data reconciliation processes
Identify, investigate, and remediate roster gaps and anomalies
Serve as the primary contact for population scoping, access issues, and roster discrepancies
Streamline workflows, automate manual reconciliation tasks, and refine procedures
Escalate operational gaps, technical setup failures, and potential compliance risks to leadership

What you’ll need

Bachelor’s Degree or military experience
At least 2 years of experience in operations, process management, data reconciliation, or Compliance onboarding workflows
At least 2 years of experience utilizing G-Suite or Microsoft Office for data tracking, reporting, or analysis
Strong analytical and data reconciliation skills
Advanced proficiency with G-Suite and Microsoft Excel, including VLOOKUPs, XLOOKUPs, pivot tables, and data-cleaning formulas
Exceptional organizational skills and ability to manage high-volume queues
Ability to communicate complex data issues to technical teams and non-technical business partners
Foundational understanding of financial services compliance, regulatory environments, or employee monitoring programs
Capital One will not sponsor a new applicant for employment authorization or provide immigration-related support
Preferred: 3+ years of experience in compliance operations, data integrity, or HR operations within a financial services institution
Preferred: Familiarity with FINRA, SEC, or CFTC regulatory frameworks
Preferred: Experience with data management systems or specialized compliance surveillance tools
Preferred: Experience partnering with business clients and technical teams to automate manual processes

Comp & perks

Performance-based incentive compensation, which may include cash bonuses and/or long-term incentives (LTI)
Comprehensive, competitive, and inclusive health, financial, and other benefits supporting total well-being
Reasonable accommodations for applicants with disabilities