Capital One Senior Software Engineer Full Stack Python Java AWS 

United States, Virginia, Arlington 

126306349

Competencies:

• Understand relevant regulatory requirements, regulatory developments, business model, trading platforms and product changes.

• Highly organized, detail-oriented, and energetic.

• Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners and technology teams.

• Ability to communicate effectively at all levels both orally and in writing.

• Capable of operating comfortably within a complex organizational structure.

• Exercises excellent business judgment, problem solving and decision-making skills.

• Self-starter with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments

• Works effectively in both a team environment and independently.

• Ability to manage complex projects and tasks simultaneously in a deadline-intensive environment.

• This role will maintain all organizational and professional ethical standards and has latitude for independent judgment and decision-making.

Responsibilities:

• Oversight of trade surveillance for Swap Dealer (interest rate, FX commodities-energy) and institutional Broker-Dealers (equity trading & fixed income (ABS)).

• Oversee the execution of daily controls on trades, orders and communications, ensuring appropriate quality control and monitoring for Swap Dealer and the institutional broker dealers.

• Manage and continually improve the programs, conduct periodic reviews, operating procedures and establish & monitor controls for surveillance.

• Define business requirements for technology implementation (new capabilities, vendor services).

• Work with technology groups to implement and test technology solutions to meet business requirements.

• Establish data quality controls and operations.

• Oversee and manage the onboarding and offboarding process of technology platforms.

• Responsible for reviewing records handling first level review and escalation of unresolved issues to Desk Heads and Compliance Advisory

• Provide subject matter expertise, advice and guidance on issues, rules and regulations applicable to Broker-Dealers and CFTC Swap Dealers (e.g., recordkeeping, business conduct rules, supervision).

• Maintain policies, procedures and guidance designed to document operating procedures and to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.

• Assist the team in identifying and escalating issues through formal escalation channels, and facilitating timely and effective resolution.

• Perform periodic quality assurance of subordinate review.

• Produce and provide management with program performance metrics.

• Independently manage internal audits and regulatory examinations; respond to regulatory inquiries.

• Independently manage projects necessary to support initiatives both within the Compliance organization and across the firm.

Basic Qualifications:

• Bachelor’s Degree or Military Experience

• At least 3 years of experience as a people manager

• At least 5 years of experience in compliance, surveillance, audit, or regulatory experience in the financial services industry

Preferred Qualifications:

• At least 5 years of experience as a people manager, ideally of a Surveillance function

• At least 10 years or more of full-time relatable experience in surveillance role, compliance, or audit related to securities and derivatives

• FINRA Series 7 and 24 licenses

• Master’s Degree or Juris Doctor from an accredited university

• Knowledge of emerging technologies (e.g., natural language processing)

• Designing and deploying market abuse detection tools.

• Operation of Surveillance systems, including tuning and calibration.

• Strong technical knowledge of trade and communications surveillance, ideally covering a variety of all major asset classes (fixed income, equities, derivatives (OTC & exchange traded))

Sales Territory: $181,800 - $207,500 for Director, Risk Management McLean, VA: $200,100 - $228,400 for Director, Risk Management New York, NY: $218,300 - $249,100 for Director, Risk Management Plano, TX: $181,800 - $207,500 for Director, Risk ManagementThis 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.

. 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.