Senior Risk Associate, Capital Markets - Regulatory Onboarding
capitalone.co.uk
Richmond, VA, US
Base: $87,700 - $100,100 depending on location; bo...
Fully remote
Regulatory compliance with cftc and finra
Client onboarding and documentation management
Due diligence and kyc/aml processes
This role supports the onboarding of new customers ensuring compliance with CFTC, FINRA, and other regulatory requirements while delivering an exceptional customer experience
Job Summary
This role supports the onboarding of new customers ensuring compliance with CFTC, FINRA, and other regulatory requirements while delivering an exceptional customer experience.
The position offers the convenience of working virtually from home with specific technology and location requirements near Capital One hubs.
Capital One provides a comprehensive, competitive, and inclusive benefits package supporting total well-being.
Matching Summary
This role supports the onboarding of new customers ensuring compliance with CFTC, FINRA, and other regulatory requirements while delivering an exceptional customer experience.
Salary
Base: $87,700 - $100,100 depending on location; Bonus/Equity: Performance based incentives including cash bonuses and/or long term incentives; Benefits: Comprehensive health, financial and other benefits
Skills & Requirements
Must-have
Regulatory compliance with CFTC and FINRA
Client onboarding and documentation management
Due diligence and KYC/AML processes
Collaboration with internal operations teams
Work from home with secure internet requirements
Pipeline review and prioritization of requests
Nice-to-have
Strong communication skills
Critical thinking and problem solving
Ability to work independently or in teams
Investigative mindset and adaptability
Project management and technology integration
Key Requirements
High School Diploma or equivalent
3+ years financial services experience
2+ years derivatives and securities experience
2+ years KYC or AML experience
2+ years client onboarding experience
Must live within 50 miles of Richmond, VA, Plano, TX, or Charlotte, NC hubs
No sponsorship for employment authorization
Work Rights
Must be authorized to work in the US without sponsorship