Associate -Commercial Bank Associate Surveillance Program

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

- Experience with electronic communication and personal trading surveillance systems

- Excellent research skills including the ability to use multiple data inputs to assess regulatory risk

- 2+ years of compliance experience in the financial services industry

- 2+ years of experience supporting, partnering and interacting with internal business clients

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

New York, NY: $131,800 - $150,500 for Compliance Advisory Specialist III

Richmond, VA: $109,900 - $125,400 for Compliance Advisory Specialist III