Capital One is seeking a Trade Surveillance Manager to lead and enhance the firm’s surveillance program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses to ensure ongoing compliance with SEC, FINRA, CFTC, and NFA regulatory requirements.
Requirements
- Strong understanding of SEC, FINRA, CFTC, and NFA rules governing market conduct, manipulation.
- Experience with rule-based surveillance platforms (Actimize, Validus, Protegent)
- Relevant certifications (FINRA Series 7/24, NFA Swap Dealer Associated Person proficiency)
- Bachelor's Degree in Finance or any other quantitative field, (Business, Math, Economics, Finance, Statistics, Science, Engineering) or military experience
- At least 5 years of trade surveillance, market regulation, or Compliance experience within a Broker-Dealer or Swap Dealer environment.
- Advanced degree
- 6+ years of trade surveillance, market regulation, or compliance experience within a Broker-Dealer or Swap Dealer environment.
Responsibilities
- Lead daily surveillance operations for both Broker-Dealer and Swap Dealer trading activities.
- Oversee the maintenance and enhancement of surveillance procedures, scenarios, and parameter settings within the trade surveillance platform.
- Ensure the surveillance program aligns with regulatory expectations and internal risk frameworks.
- Oversee timely review and disposition of all surveillance alerts, ensuring resolution within established timeframes.
- Manage the escalation of potential trading violations in accordance with the firm’s escalation matrix.
- Perform secondary reviews on alerts escalated for supervisory attention or potential rule breaches.
- Oversee periodic data completeness and accuracy checks for both BD and SD surveillance.
Other
- Manage, train, and develop surveillance analysts, fostering a culture of compliance, well-managed, and continuous improvement.
- Collaborate with Compliance, Legal, Technology, Risk, and business partners to resolve issues and enhance program effectiveness.
- Participate in industry groups.
- Bachelor's Degree in Finance or any other quantitative field, (Business, Math, Economics, Finance, Statistics, Science, Engineering) or military experience
- Ability to manage multiple priorities in a fast-paced, regulated environment.
