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About the Role

Capital One is seeking a highly motivated, detail-oriented Senior Associate Risk Specialist to serve as the operational backbone of the Commercial Bank’s Associate Surveillance Program. In this role, you will focus heavily on population management, onboarding/offboarding workflows, and data reconciliation. Your mission is to ensure all monitored associates specifically within our Broker-Dealer and Swap Dealer business lines are accurately identified, tracked, and correctly provisioned within our surveillance systems. If you thrive on data integrity, process optimization, and cross-functional collaboration in a fast-paced regulatory environment, this is the perfect opportunity for you.

Responsibilities

Maintain the definitive, golden-source inventory of the monitored employee population.
Actively track internal transfers, role changes, and status updates to guarantee continuous regulatory compliance coverage.
Partner seamlessly with key stakeholder teams to manage the end-to-end lifecycle of monitored associates, ensuring surveillance tracking initiates and terminates precisely on schedule.
Validate that newly onboarded associates are flawlessly configured across all compliance surveillance tools, databases, and communication channels from day one.
Design and execute rigorous daily, weekly, and monthly reconciliation processes between internal data feeds and surveillance system rosters to proactively identify, investigate, and remediate any gaps or anomalies.
Serve as the primary point of contact for internal business partners regarding population scoping, access issues, and roster data discrepancies.
Collaborate with leadership and technical teams to streamline workflow pipelines, automate manual reconciliation tasks, and refine operational procedures.
Promptly identify and flag operational gaps, technical setup failures, or potential compliance risks regarding population tracking to team leadership for immediate review.

Requirements

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
Proven ability to analyze large employee datasets, spot systemic discrepancies, and resolve complex roster anomalies.
High comfort level with G-Suite and Microsoft Excel (e.g., VLOOKUPs, XLOOKUPs, pivot tables, data cleaning formulas).
Exceptional organizational skills with a track record of managing high-volume queues without sacrificing attention to detail.
Ability to articulate complex data issues clearly to both technical teams and non-technical business partners.
A foundational understanding of financial services compliance, regulatory environments, or employee monitoring programs.

Skills

G-Suite
Microsoft Excel
VLOOKUPs
XLOOKUPs
Pivot tables
Data cleaning formulas
Data reconciliation
Process management
Compliance onboarding workflows
Data tracking
Reporting
Analysis
Financial services compliance
Regulatory environments
Employee monitoring programs
Data management systems
Compliance surveillance tools
User permissions management
Communication group management
Process automation

Location

McLean, VA
New York, NY

Work Type

Full-time

Experience Level

Senior Associate
3+ years of experience in compliance operations, data integrity, or HR operations within a financial services institution
Experience utilizing data management systems or specialized compliance surveillance tools to manage user permissions and communication groups
Experience partnering with internal business clients and technical teams to automate manual operational processes

Education Level

Bachelor’s Degree

Salary/Compensations

McLean, VA: $96,500 - $110,100
New York, NY: $105,300 - $120,100

Benefits

Comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.

About the Company

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).

Equal Opportunity

Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.
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.