Capital Markets Senior Associate

**Responsibilities include**:***** Process trade allocations and step-ins* Proactively monitor trade settlement and quickly resolve any exceptions causing trades not to settle* 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 both 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* Data entry and maintenance of customer database* Customer trading account opening and maintenance* Customer file maintenance and electronic record keeping management of customer files* M&A deal onboarding; deal closing; deal archiving* M&A deal regulatory documentation and filing into official system of record* M&A regulatory notifications* Update deal statuses in official system of record to kick off notification to partners to begin process* Conduct monthly reconciliation of M&A deals* Upload M&A deal documents into official system of record to provide notification to partners* Experience in securities business and familiarity with settlement process* Exposure to M&A operations* Exposure to Derivatives Operations and trade life cycles* Experience with Regulatory Reporting* Contribute to action plans aimed at increasing operational efficiencies* A secure home office environment that is free from background noise and distractions* A reliable private internet connection that is not supplied via cellular data or hotspot

+ A private network that is password protected where you have ownership or line of sight to every device on the network

+ Internet service must be provided by Cable or fiber Internet Service Provides (ISP)

+ Hotspots and satellite services are prohibited and do not meet performance criteria required for optimal agent/customer interactions

+ ISP download speeds on VPN must be at least 5Mbps, with 10+ Mbps preferred

+ To validate ISP speeds from a Chrome browser, go to, type Speed Test and run from the Google landing page* Both Hardwire and WiFi internet connections are acceptable as long as speed and security requirements are met**Work from Home Living Requirements**:******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 working with securities clearing software* 4+ years of experience working with Mergers and Acquisitions* 4+ years of experience with Swap Dealer or Dodd FrankCapital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. #J-18808-Ljbffr