Trade Surveillance Lead: BD & SD Compliance & Investigations
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-06-07
Listing for:
Capital One
Full Time
position Listed on 2026-06-07
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
Capital One is seeking a Trade Surveillance Principal Associate in New York, NY, to enhance its Commercial Banking market conduct program. The ideal candidate will have a strong analytical background and regulatory knowledge, focusing on daily surveillance monitoring and complex trading investigations.
This role requires collaboration across teams to ensure compliance with SEC, FINRA, and CFTC regulations, and to maintain data integrity and documentation.
Competitive salary range for this position is $131,800 - $150,500, along with performance-based incentives.
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