Senior Manager, Capital Markets Securities Operations

2151 Hawkins St (46004), United States of America, Charlotte, North Carolina
Senior Manager, Capital Markets Securities Operations
Capital One's Commercial Operations provides support for all Commercial Banking businesses, working across a wide range of product groups, including derivatives and loans. Our goal is to deliver a beautiful client experience to our business bankers, internal partners and clients.
This unique position owns the post trade execution needs of our Capital One Securities, Triple Tree and Kipps DeSantos' broker dealer businesses, including Equity Trading, Asset Backed Securities and M&A.
As the leader of a scaling team, the candidate must be open to change, idea sharing, and assure that processes are accurate and well controlled. The candidate should have strong attention to detail, keen problem solving skills, and communicate effectively with both external and internal clients.
Day to day, this leader will work with their team to ensure we meet our specifications for quality and timeliness as we work to process and settle securities transactions across our three broker dealers. The candidate should feel comfortable engaging with multiple partner groups, like Compliance and Legal teams, to translate regulatory requirements into operational processes that protect the company as we support the growth of the business lines. Given the highly regulated nature of the work, this leader will be engaged in Audit and exam support as a key component of the role.
Responsibilities :

• Lead and manage the day-to-day operations of the team, including serving as a key point of escalation. Oversee daily control reports and rapidly triage and escalate complex issues or non-compliance as appropriate
• Supervise the processing of transactions across securities 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
• Drive consistent and up to date procedures and job aides across the team, ensuring alignment with policies and regulations
• Drive process and technology enhancements as required to drive improvement in securities processing activities and ensure compliance with regulatory reform impacting the business
• Manage issue and event remediation for securities operations
• 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 5 years of Securities Operations or Middle Office experience in Capital Markets
• At least 3 years of People Management experience

Preferred Qualifications :

• 5+ years of Equities experience, with a focus on control and process improvement
• 5+ years of Fixed Income experience, with a focus on control and process improvement
• 5+ years of experience supervising controls for a Broker Dealer Operation or Middle Office
• 10+ years of experience with implementing or ensuring compliance with FINRA regulations for Securities Operations or Middle Office
• 7+ years of experience implementing or improving processes and associated controls
• 3+ years of experience leading through change, including driving execution
• 10+ years of Risk, Control or Compliance experience
• SIE and FINRA Series 7 or Series 99

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
How our hybrid model works :
This role is hybrid meaning associates typically spend about half their time (2-3 days per week) in-person at one of our offices listed on this job posting. Monday and Fridays are enterprise- wide virtual work days . Tuesday, Wednesday and Thursday are in-person days for associates to spend time together working in our beautifully-designed team areas.
#CommOps
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 Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).