Senior Risk Associate, Capital Markets - Regulatory Onboarding

Capital One

Richmond, Virginia, United States
Base: $87,700 - $100,100 annually; bonus/equity: p...
Fully remote
3 years financial services experience
Derivatives products knowledge
Isda definitions familiarity
This role supports the highly transactional Derivatives and Securities sales and trading business by handling all onboarding-related activities to ensure regulatory compliance

Job Summary

  • This role supports the highly transactional Derivatives and Securities sales and trading business by handling all onboarding-related activities to ensure regulatory compliance.
  • Candidates must live within 50 miles of a hub in Richmond, VA, Plano, TX, or Charlotte, NC, and be comfortable coming in person with 24 hours notice.
  • The position offers a competitive annual salary ranging from $87,700 to $100,100 depending on the location, along with performance-based incentive compensation.

Matching Summary

This role supports the highly transactional Derivatives and Securities sales and trading business by handling all onboarding-related activities to ensure regulatory compliance.

Salary

Base: $87,700 - $100,100 annually; Bonus/Equity: Performance based incentive compensation available; Benefits: Comprehensive health, financial, and other benefits included

Skills & Requirements

Must-have

  • 3 years financial services experience
  • Derivatives products knowledge
  • ISDA Definitions familiarity
  • Dodd-Frank Title VII understanding
  • FINRA rules expertise
  • KYC/AML process experience
  • Client onboarding documentation

Nice-to-have

  • Bachelor's degree preferred
  • Military experience valued
  • Strong communication skills
  • Critical thinking abilities
  • Project management integration
  • Fast failing mindset
  • Thriving under uncertainty

Key Requirements

  • High School Diploma or GED required
  • At least 3 years Financial Services experience
  • US work authorization (no sponsorship)
  • Bachelor's Degree preferred
  • 2+ years Derivatives/Securities experience
  • 2+ years KYC/AML experience

Work Rights

Must have US work authorization

Tailored Resume

Cover Letter