Capital Markets Senior Associate

Capital Markets Senior Associate role at Capital One

Are you looking for a challenging role that includes the convenience of working virtually at home? Then this Capital One Commercial Ops role may be the role for you! You must be within 50 miles driving distance from one of our Capital One hubs in Charlotte, NC or Plano, TX.

Capital One is looking for an experienced, motivated professional to join a growing brokerage firm. The position will be part of the Commercial Operations team and will involve the processing of functions that include but are not limited to clearing, securities settlements, trade confirmations, funds flow, reporting and various other aspects in support of several lines of business. The role will be expected to help create processes and procedures and provide training to other associates on M&A operations, securities settlement related issues, while supporting existing products and services.

Candidates must possess excellent organizational skills, customer contact and interpersonal skills, along with oral and written communication skills. If a candidate does not hold a specific FINRA license needed for this role, you may be required to obtain that license within 3 months from your start date as a condition of employment.

• Process trade allocations and step‑ins
• Proactively monitor trade settlement and quickly resolve any exceptions causing trades not to settle
• Work with clearing broker and client back offices to ensure accurate bookings
• Process derivative transactions (commodities, FX and interest rates)
• Register, process, and book Asset‑Backed Securities for primary offerings
• Fulfill periodic audit requests from both internal and external auditors
• Download and review daily trading documentation
• Assist internal financial operations group with daily, monthly, and quarterly reports
• Develop further trading operations management processes as needed
• Data entry and maintenance of customer database
• Customer trading account opening and maintenance
• Customer file maintenance and electronic record keeping management of customer files
• M&A deal onboarding; deal closing; deal archiving
• M&A deal regulatory documentation and filing into official system of record
• M&A regulatory notifications
• Update deal statuses in official system of record to kick off notification to partners to begin process
• Conduct monthly reconciliation of M&A deals
• Upload M&A deal documents into official system of record to provide notification to partners
• Experience in securities business and familiarity with settlement process
• Exposure to M&A operations
• Exposure to derivatives operations and trade life cycles
• Experience with regulatory reporting
• Contribute to action plans aimed at increasing operational efficiencies

• A secure home office environment that is free from background noise and distractions
• A reliable private internet connection that is not supplied via cellular data or hotspot
• Both hardwire and Wi‑Fi internet connections are acceptable as long as speed and security requirements are met
• A private network that is password protected where you have ownership or line of sight to every device on the network
• Internet service must be provided by cable or fiber Internet Service Providers (ISP)
• Hotspots and satellite services are prohibited and do not meet performance criteria required for optimal agent/customer interactions
• ISP download speeds on VPN must be at least 5 Mbps, with 10+ Mbps preferred
• To validate ISP speeds from a Chrome browser, go to , type Speed Test and run from the Google landing page

• Candidates must live within approximately 50 miles of one of the hub locations based in 28203 or 75024 and be comfortable coming in person whenever required with no less than 24 hours notice.

• High School Diploma, GED, or equivalent certification
• At least 3 years of operations experience
• At least 3 years of middle, back office or settlement experience

• Bachelor’s Degree or military experience
• FINRA Series 7, 79 or 99 license
• 4+ years of experience in Broker Dealer
• 4+ years of experience with Asset‑Backed Securities
• 4+ years of…