Compliance Risk Analyst: ITMP & Control Room

Capital One National Association; Richmond (VA); On-site; USD 74,000 - 85,000; Full time

Job summary

Capital One is seeking a Risk Specialist at Associate level to support the Commercial Bank's Insider Trading Monitoring Program and Control Room operations, ensuring adherence to regulatory requirements and internal policies.

In this role you will assist with case management, review trade requests, monitor data feeds, onboard and offboard associates, and help track compliance metrics while maintaining clear communications.

Qualifications

• Strong analytical writing and communication skills.
• Proficiency with G-Suite & Microsoft Office products.
• Excellent organizational and time management skills.
• Excellent research skills including the ability to use multiple data inputs to assess regulatory risk.

Responsibilities

• Assist with case management, review and process personal brokerage account trade requests, brokerage account opening approvals, and exception requests.
• Evaluate and process brokerage and trade exception requests, monitor electronic data feeds, and perform routine account and securities reconciliations.
• Facilitate user and system administration, guide associate onboarding and offboarding, and provide training to new monitored associates.
• Support Global Control Room operations, monitor data import files, assist with system maintenance and restricted list management
• Maintain clear, current associate communications and guidance, regularly review and update internal process documentation, and track and analyze compliance metrics.

Skills

Analytical writing

Communication skills

G-Suite

Microsoft Office

Education

Bachelor's degree or military experience

Tools

G-Suite

Microsoft Office

Job description

Capital One is seeking a Risk Specialist at Associate level to support the Commercial Bank's Insider Trading Monitoring Program and Control Room operations, ensuring adherence to regulatory requirements and internal policies.

In this role you will assist with case management, review trade requests, monitor data feeds, onboard and offboard associates, and help track compliance metrics while maintaining clear communications.