Trade Surveillance Lead - Broker-Dealer & Swap Dealer
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-08-19
Listing for:
US Government Jobs
Full Time
position Listed on 2026-08-19
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Banking & Finance
Job Description & How to Apply Below
Capital One seeks a highly analytical Trade Surveillance Principal Associate to strengthen its Commercial Banking market conduct surveillance program across Broker-Dealer and Swap Dealer trading activities. You will conduct day-to-day surveillance, lead investigations into complex trading, and ensure ongoing compliance with SEC, FINRA, CFTC, and NFA requirements.
The ideal candidate brings deep knowledge of exchange-traded futures and commodities, familiarity with other asset classes, and proven
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