Capital One National Association
Capital Markets Senior Associate
Capital One National Association, Charlotte, North Carolina, United States, 28245
Capital Markets Senior Associate
Are you looking for a challenging role that includes the convenience of working virtually from home? This Capital One Commercial Ops position may be the role for you! You must be within 50 miles driving distance from one of our Capital One hubs in Charlotte, NC or Plano, TX.
Capital One is looking for an experienced, motivated professional to join a growing brokerage firm. The position will be part of the Commercial Operations team and will involve processing functions that include but are not limited to clearing, securities settlements, trade confirmations, funds flow, reporting and various other aspects in support of several lines of business.
Responsibilities
Process trade allocations and step‑ins
Proactively monitor trade settlement and quickly resolve any exceptions that prevent trades from settling
Work with clearing broker and client back offices to ensure accurate bookings
Process derivative transactions (commodities, FX and interest rates)
Register, process, and book asset‑backed securities for primary offerings
Fulfill periodic audit requests from internal and external auditors
Download and review daily trading documentation
Assist internal financial operations group with daily, monthly, and quarterly reports
Develop further trading operations management processes as needed
Maintain customer database and opening/maintenance of customer trading accounts
Manage customer files and electronic record keeping
Handle M&A deal onboarding, closing, and archiving
File M&A regulatory documentation into the official system of record
Provide regulatory notifications for M&A triggers
Update deal statuses in the system to trigger partner notifications
Conduct monthly reconciliation of M&A deals
Upload M&A deal documents into the system of record
Possess experience in securities business and familiarity with settlement processes
Have exposure to M&A operations and derivative operations trade life cycles
Have experience with regulatory reporting
Contribute to action plans aimed at increasing operational efficiencies
Work From Home Technology Requirements
Secure home office environment free from background noise and distractions
Reliable private internet connection using cable or fiber (no cellular hotspot or satellite)
Private network that is password protected and provides ownership or line of sight to each device
Internet service must meet at least 5 Mbps download speed, preferred 10 Mbps+, via VPN
Both wired and Wi‑Fi connections acceptable if speed and security requirements are met
Work From Home Living Requirements
Candidates must live within approximately 50 miles of one of the hub locations based in 28203 or 75024 and be comfortable coming in person whenever required with no less than 24 hours notice.
Basic Qualifications
High School Diploma, GED, or equivalent certification
At least 3 years of operations experience
At least 3 years of middle, back office, or settlement experience
Preferred Qualifications
Bachelor’s Degree or military experience
FINRA Series 7, 79, or 99 license
4+ years of experience in broker‑dealer
4+ years of experience with asset‑backed securities
4+ years of experience with securities clearing software
4+ years of experience with mergers and acquisitions
4+ years of experience with swap dealer or Dodd‑Frank regulations
Equal Opportunity Employer (EEO) Capital One is an equal‑opportunity employer (EOE, including disability/veteran). We are committed to non‑discrimination in compliance with applicable federal, state, and local laws. We will consider qualified applicants with a criminal history in a manner consistent with applicable laws and regulations.
Salary & Benefits Charlotte, NC: $78,400–$89,500 for Senior Ops Associate Plano, TX: $78,400–$89,500 for Senior Ops Associate
Eligible for performance‑based incentive compensation, including cash bonus(es) and/or long‑term incentives (LTI). Benefits include health, financial and other perks; eligibility varies by status.
Application Information This role is expected to accept applications for at least 5 business days. No agencies, please. For support or questions about the recruiting process, email us at Careers@capitalone.com. For accommodations, contact RecruitingAccommodation@capitalone.com.
Capital One reserves the right to request proof of internet provider and service package from the associate. Requirements are subject to change. Capital One reserves the right to modify internet service requirements with 60 days notice.
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Capital One is looking for an experienced, motivated professional to join a growing brokerage firm. The position will be part of the Commercial Operations team and will involve processing functions that include but are not limited to clearing, securities settlements, trade confirmations, funds flow, reporting and various other aspects in support of several lines of business.
Responsibilities
Process trade allocations and step‑ins
Proactively monitor trade settlement and quickly resolve any exceptions that prevent trades from settling
Work with clearing broker and client back offices to ensure accurate bookings
Process derivative transactions (commodities, FX and interest rates)
Register, process, and book asset‑backed securities for primary offerings
Fulfill periodic audit requests from internal and external auditors
Download and review daily trading documentation
Assist internal financial operations group with daily, monthly, and quarterly reports
Develop further trading operations management processes as needed
Maintain customer database and opening/maintenance of customer trading accounts
Manage customer files and electronic record keeping
Handle M&A deal onboarding, closing, and archiving
File M&A regulatory documentation into the official system of record
Provide regulatory notifications for M&A triggers
Update deal statuses in the system to trigger partner notifications
Conduct monthly reconciliation of M&A deals
Upload M&A deal documents into the system of record
Possess experience in securities business and familiarity with settlement processes
Have exposure to M&A operations and derivative operations trade life cycles
Have experience with regulatory reporting
Contribute to action plans aimed at increasing operational efficiencies
Work From Home Technology Requirements
Secure home office environment free from background noise and distractions
Reliable private internet connection using cable or fiber (no cellular hotspot or satellite)
Private network that is password protected and provides ownership or line of sight to each device
Internet service must meet at least 5 Mbps download speed, preferred 10 Mbps+, via VPN
Both wired and Wi‑Fi connections acceptable if speed and security requirements are met
Work From Home Living Requirements
Candidates must live within approximately 50 miles of one of the hub locations based in 28203 or 75024 and be comfortable coming in person whenever required with no less than 24 hours notice.
Basic Qualifications
High School Diploma, GED, or equivalent certification
At least 3 years of operations experience
At least 3 years of middle, back office, or settlement experience
Preferred Qualifications
Bachelor’s Degree or military experience
FINRA Series 7, 79, or 99 license
4+ years of experience in broker‑dealer
4+ years of experience with asset‑backed securities
4+ years of experience with securities clearing software
4+ years of experience with mergers and acquisitions
4+ years of experience with swap dealer or Dodd‑Frank regulations
Equal Opportunity Employer (EEO) Capital One is an equal‑opportunity employer (EOE, including disability/veteran). We are committed to non‑discrimination in compliance with applicable federal, state, and local laws. We will consider qualified applicants with a criminal history in a manner consistent with applicable laws and regulations.
Salary & Benefits Charlotte, NC: $78,400–$89,500 for Senior Ops Associate Plano, TX: $78,400–$89,500 for Senior Ops Associate
Eligible for performance‑based incentive compensation, including cash bonus(es) and/or long‑term incentives (LTI). Benefits include health, financial and other perks; eligibility varies by status.
Application Information This role is expected to accept applications for at least 5 business days. No agencies, please. For support or questions about the recruiting process, email us at Careers@capitalone.com. For accommodations, contact RecruitingAccommodation@capitalone.com.
Capital One reserves the right to request proof of internet provider and service package from the associate. Requirements are subject to change. Capital One reserves the right to modify internet service requirements with 60 days notice.
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