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.  ##

Key Responsibilities
* 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.  ##

The Ideal Candidate Will Demonstrate:
* 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.## ## Basic Qualifications
* 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## ##

Preferred Qualifications
* 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…