Operations & Compliance Manager – Capital Markets

Ascendo Resources; Great Falls Crossing (VA); On-site; USD 80,000 - 120,000; Full time

Job summary

An established financial institution is seeking an Operations and Compliance Manager for its Capital Markets division. This exciting opportunity is ideal for a seasoned professional with extensive experience in operations, risk, and compliance. The role involves overseeing critical functions, leading modernization initiatives, and collaborating with various teams to ensure regulatory compliance and operational efficiency. Join a dynamic environment where your expertise will drive significant improvements and enhance the institution's operational framework. This is a chance to make a meaningful impact in a pivotal role within the financial sector.

Qualifications

• 10+ years of experience in Capital Markets operations, risk, and compliance.
• Strong leadership and project management abilities.

Responsibilities

• Oversee operational, compliance, and risk functions effectively.
• Develop and monitor business processes for efficiency.

Skills

Operations Management

Risk Management

Compliance

Leadership

Project Management

Education

Bachelor’s degree in Finance

Bachelor’s degree in Accounting

Bachelor’s degree in Risk

Job description

Operations & Compliance Manager – Capital Markets

A well-established financial institution is looking for an Operations and Compliance Manager to join its Capital Markets division. This role is perfect for an experienced professional with a strong background in operations, risk, and compliance within capital markets.

Key Responsibilities:

• Oversee and support operational, compliance, and risk functions effectively
• Serve as the First Line of Defense between Capital Markets and Debt Services
• Develop, document, and monitor both new and existing business processes
• Work closely with Risk Management, Compliance, Legal, and Funding teams
• Lead or contribute to process modernization and automation initiatives
• Identify and implement operational improvements to enhance efficiency and regulatory outcomes
• Collaborate with stakeholders to evaluate business continuity and resiliency tests
• Work alongside Legal to maintain internal procedures, agreements, and guidelines
• Manage Risk Control Self-Assessments (RCSA) and perform validation testing
• Assist with internal and external audits for Capital Markets and Debt Services

Qualifications:

• Bachelor’s degree in Finance, Accounting, Risk, or a related field
• 10+ years of experience in Capital Markets operations, risk, and compliance
• Strong leadership and project management abilities
• Experience driving modernization and automation efforts

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Finance, Project Management, and Other

Industries

Banking and Capital Markets