Capital One Senior Manager Capital Markets Securities Operations 

United States, North Carolina, Charlotte 

138355494

2151 Hawkins St (46004), United States of America, Charlotte, North Carolina Senior Manager, Capital Markets Securities Operations

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

are in-person days for associates to spend time together working in our beautifully-designed team areas.

. 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.