Senior Associate, Risk Specialist – eComm Surveillance Population Management

Senior Associate, Risk Specialist – eComm Surveillance Population Management

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.

• Population Management & Governance:
  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.
• Onboarding & Offboarding Orchestration:
  Partner seamlessly with key stakeholder teams (including Licensing & Registration, Swap Dealer/Broker Dealer Advisory,Tech and Mobility) to manage the end-to-end lifecycle of monitored associates, ensuring surveillance tracking initiates and terminates precisely on schedule.
• System Provisioning & Access Verification:
  Validate that newly onboarded associates are flawlessly configured across all compliance surveillance tools, databases, and communication channels from day one.
• Data Reconciliation:
  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.
• Cross-Functional Collaboration:
  
  Serve as the primary point of contact for internal business partners regarding population scoping, access issues, and roster data discrepancies.
• Process Innovation:
  Collaborate with leadership and technical teams to streamline workflow pipelines, automate manual reconciliation tasks, and refine operational procedures.
• Incident Escalation:
  Promptly identify and flag operational gaps, technical setup failures, or potential compliance risks regarding population tracking to team leadership for immediate review.

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

• 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

• 3+ years of experience in compliance operations, data integrity, or HR operations within a financial services institution
• Familiarity with the operational tracking required under financial regulatory frameworks (managing monitored populations under FINRA, SEC, or CFTC guidelines)
• 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

• McLean, VA: $96,500 - $110,100 for Compliance Advisory Specialist II
• New York, NY: $105,300 - $120,100 for Compliance Advisory Specialist II
• Candidates hired to work in other locations will be subject to the…