Associate Risk Specialist - Commercial Bank Associate Surveillance Program


Place St Charles (37701), United States of America, New Orleans, Louisiana

Associate Risk Specialist - Commercial Bank Associate Surveillance Program

Title: Associate Risk Specialist - Commercial Bank Associate Surveillance Program

Level : Associate

Associate Risk Specialists at Capital One are highly motivated Risk Management professionals with excellent organizational and communication skills. They have a high level of exposure across multiple lines of business as well as the opportunity to create and implement innovative solutions to identify and mitigate potential risks to the Company using various compliance surveillance tools and methods. This position will work with a team of professionals to assist in the management of Capital One Commercial Bank's Associate Surveillance Program. This role will be responsible for the day to day review of alerts generated from various surveillance tools.

  • Familiarity with SEC, FINRA, and CFTC rules and regulations as it relates to permissible and impermissible activity.
  • Experience in Capital Markets and Asset Management compliance surveillance
  • Interface with compliance officers, business risk officers, legal, and other relevant stakeholders to review and resolve potential compliance issues
  • Excellent written and verbal communication skills
  • Proficiency with G-Suite & Microsoft Office products
  • Experience with electronic communication and personal trading surveillance systems
  • Enhance surveillance practices and procedures

Qualities Desired:

-Strong analytical writing and communication skills

-Proficiency with the MS Office suite

-Excellent Organizational and time management skills

-Excellent research skills including experience with compliance surveillance tools

Basic Qualifications:

- High School Diploma, GED or Equivalent certification

- At least 2 years of compliance experience

Preferred Qualifications:

- Bachelors' Degree

- At least 3 years of compliance experience in the financial services industry

At least 3 years of experience supporting, partnering and interacting with internal business clients

- Ability to handlemanage and deliver multiple priorities for different stakeholders.

- FINRA Series 7 and 63

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. 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; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to

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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).