Capital One
Trade Surveillance Manager (Broker-Dealer & Swap Dealer)
Capital One, New York, New York, us, 10261
We are seeking a highly skilled Trade Surveillance Manager to lead and enhance the firm’s surveillance program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses. This individual will oversee day-to-day surveillance operations, maintain robust controls around the monitoring of trading activity, and ensure ongoing compliance with SEC, FINRA, CFTC, and NFA regulatory requirements.* 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 periodic data completeness and accuracy checks for both BD and SD surveillance.* Ensure reconciliations between trading
systems of record and trade surveillance platform are completed and exceptions addressed.* Participate in scenario testing, calibration reviews, and overall system governance.* 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 At least 5 years Compliance experience within a Broker-Dealer or Swap Dealer environment.* Advanced degree* 6+ years of trade surveillance, market regulation, or 6+ years compliance experience within a Broker-Dealer or Swap Dealer environment.* Relevant certifications (FINRA Series 7/24, NFA Swap Dealer Associated Person proficiency)* Strong understanding of SEC, FINRA, CFTC, and NFA rules governing market conduct, manipulation.* Experience with rule-based surveillance platforms (Actimize, Validus, Protegent)* Proven leadership experience with the ability to manage and develop a high-performing team.* Excellent analytical, communication, and documentation skills.* Ability to manage multiple priorities in a fast-paced, regulated environment.Capital 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
systems of record and trade surveillance platform are completed and exceptions addressed.* Participate in scenario testing, calibration reviews, and overall system governance.* 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 At least 5 years Compliance experience within a Broker-Dealer or Swap Dealer environment.* Advanced degree* 6+ years of trade surveillance, market regulation, or 6+ years compliance experience within a Broker-Dealer or Swap Dealer environment.* Relevant certifications (FINRA Series 7/24, NFA Swap Dealer Associated Person proficiency)* Strong understanding of SEC, FINRA, CFTC, and NFA rules governing market conduct, manipulation.* Experience with rule-based surveillance platforms (Actimize, Validus, Protegent)* Proven leadership experience with the ability to manage and develop a high-performing team.* Excellent analytical, communication, and documentation skills.* Ability to manage multiple priorities in a fast-paced, regulated environment.Capital 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