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Responsibilities:
Lead and manage the day-to-day operations of the team, including serving as a key point of escalation. Oversee daily control reports and rapidly triage and escalate complex issues or non-compliance as appropriate
Supervise the processing of transactions across securities operations in an efficient, compliant, and client-centric manner by coordinating with clients and the business as required. Liaise across functions to ensure trade compliance and timely processing
Drive consistent and up to date procedures and job aides across the team, ensuring alignment with policies and regulations
Drive process and technology enhancements as required to drive improvement in securities processing activities and ensure compliance with regulatory reform impacting the business
Manage issue and event remediation for securities operations
Collaborate with Risk, Legal, Compliance and other partner teams to ensure all processes support a strong control environment
Basic Qualifications:
Bachelor’s Degree or Military experience
At least 5 years of Securities Operations or Middle Office experience in Capital Markets
At least 3 years of People Management experience
Preferred Qualifications:
5+ years of Equities experience, with a focus on control and process improvement
5+ years of Fixed Income experience, with a focus on control and process improvement
5+ years of experience supervising controls for a Broker Dealer Operation or Middle Office
10+ years of experience with implementing or ensuring compliance with FINRA regulations for Securities Operations or Middle Office
7+ years of experience implementing or improving processes and associated controls
3+ years of experience leading through change, including driving execution
10+ years of Risk, Control or Compliance experience
SIE and FINRA Series 7 or Series 99
How our hybrid model works:
This role ismeaning associates typically spend about half their time (2-3 days per week) in-person at one of our offices listed on this job posting.are enterprise- wide
. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
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 . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
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