Capital One Senior Director Capital Markets Middle & Back Office Operations 

United States, North Carolina, Charlotte 

61700170

2151 Hawkins St (46004), United States of America, Charlotte, North Carolina Senior Director, Capital Markets Middle & Back Office Operations

Responsibilities:

• Oversee the day-to-day operations of the team, including serving as a key point of escalation. Rapidly triage and escalate complex issues or non-compliance as appropriate

• Supervise the processing of transactions across capital markets 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

• Ensure consistent and up to date policies and procedures across the team

• Drive the development, structuring and roll out of new technology, intelligent automation and tactical process changes required to drive improvement in capital markets processing activities and ensure compliance with regulatory reform impacting the business

• Identify and lead integration and process enhancement initiatives

• Manage issue and event remediation

• 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 10 years of Capital Markets experience, with experience leading Derivatives Operations

• At least 5 years of People Management experience

Preferred Qualifications:

• At least 5+ years of Securities experience

• At least 10+ years of Derivatives experience, including knowledge of associated derivative regulations

• SIE and FINRA Series 24, Series 7 or Series 99

• At least 3+ years of experience with ISDA Master Agreements, Credit Support Annexes, or ancillary documents, including confidentiality agreements, legal opinions, guarantees, control agreements and risk participation agreements

• At least 10+ years of experience implementing or improving processes and associated controls

• At least 5+ years of experience leading through change, including driving execution

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.