Capital Markets Senior Associate

Overview

Capital Markets Senior Associate

Are you looking for a challenging role that includes the convenience of working virtually at home? Then a 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.

Responsibilities include :

• 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

Work from Home Technology Requirements:

• 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

  • 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 Provides (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 5Mbps, with 10+ Mbps preferred

  • To validate ISP speeds from a Chrome browser, go to , type Speed Test and run from the Google landing page

• Both Hardwire and WiFi internet connections are acceptable as long as speed and security requirements are met

Capital One reserves the right to request proof of internet provider, speed and service package from the associate. Requirements are subject to change, as new systems and technology are delivered. Capital One reserves the right to modify internet service requirements with sixty (60) days notice. Internet Service Provider specs can change by provider and location within the US. If you are experiencing consistent issues with internet stability Capital One reserves the right to ask the agent to upgrade internet service to ensure a good customer experience.

Work from Home Living Requirements :

• 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.

Basic Qualifications :

• 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

Preferred Qualifications :

• 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 experience working with securities clearing software

• 4+ years of experience working with Mergers and Acquisitions

• 4+ years of experience with Swap Dealer or Dodd Frank

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

#CommOps

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Charlotte, NC: $80,800 - $92,200 for Sr. Ops Associate

Plano, TX: $80,800 - $92,200 for Sr. Ops Associate

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at [email protected] . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to [email protected]

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).