Senior Associate, Risk Specialist – eComm Surveillance Population Management

Senior Associate, Risk Specialist – eComm Surveillance Population Management Capital One is seeking a highly motivated, detail-oriented Senior Associate Risk Specialist to serve as the operational backbone of the Commercial Bank’s Associate Surveillance Program. In this role, you will focus heavily on population management, onboarding/offboarding workflows, and data reconciliation. Your mission is to ensure all monitored associates specifically within our Broker-Dealer and Swap Dealer business lines are accurately identified, tracked, and correctly provisioned within our surveillance systems. If you thrive on data integrity, process optimization, and cross-functional collaboration in a fast-paced regulatory environment, this is the perfect opportunity for you.

Population Management & Governance: Maintain the definitive, golden-source inventory of the monitored employee population. Actively track internal transfers, role changes, and status updates to guarantee continuous regulatory compliance coverage. Onboarding & Offboarding Orchestration: Partner seamlessly with key stakeholder teams (including Licensing & Registration, Swap Dealer/Broker Dealer Advisory,Tech and Mobility) to manage the end-to-end lifecycle of monitored associates, ensuring surveillance tracking initiates and terminates precisely on schedule. System Provisioning & Access Verification: Validate that newly onboarded associates are flawlessly configured across all compliance surveillance tools, databases, and communication channels from day one. Data Reconciliation: Design and execute rigorous daily, weekly, and monthly reconciliation processes between internal data feeds and surveillance system rosters to proactively identify, investigate, and remediate any gaps or anomalies. Cross-Functional Collaboration: Serve as the primary point of contact for internal business partners regarding population scoping, access issues, and roster data discrepancies. Process Innovation: Collaborate with leadership and technical teams to streamline workflow pipelines, automate manual reconciliation tasks, and refine operational procedures. Incident Escalation: Promptly identify and flag operational gaps, technical setup failures, or potential compliance risks regarding population tracking to team leadership for immediate review. The Ideal Candidate Will Demonstrate: Strong Analytical & Data Reconciliation Skills: Proven ability to analyze large employee datasets, spot systemic discrepancies, and resolve complex roster anomalies. Advanced Data Tool Proficiency: High comfort level with G-Suite and Microsoft Excel (e.g., VLOOKUPs, XLOOKUPs, pivot tables, data cleaning formulas). Process & Workflow Excellence: Exceptional organizational skills with a track record of managing high-volume queues without sacrificing attention to detail. Effective Communication: Ability to articulate complex data issues clearly to both technical teams and non-technical business partners. Risk Mindset: A foundational understanding of financial services compliance, regulatory environments, or employee monitoring programs.

Bachelor’s Degree or military experience At least 2 years of experience in operations, process management, data reconciliation, or Compliance onboarding workflows At least 2 years of experience utilizing G-Suite or Microsoft Office for data tracking, reporting, or analysis Preferred Qualifications 3+ years of experience in compliance operations, data integrity, or HR operations within a financial services institution Familiarity with the operational tracking required under financial regulatory frameworks (managing monitored populations under FINRA, SEC, or CFTC guidelines) Experience utilizing data management systems or specialized compliance surveillance tools to manage user permissions and communication groups Experience partnering with internal business clients and technical teams to automate manual operational processes At this