Overview

Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)

About the Role

We are seeking a highly analytical and investigative Trade Surveillance Principal Associate to play a key role in executing and enhancing Capital One’s Commercial Banking market conduct surveillance program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses. This individual will conduct day-to-day surveillance monitoring, lead deep-dive investigations into complex trading activity, and ensure ongoing compliance with SEC (Securities and Exchange Commission), FINRA (Financial Industry Regulatory Authority), CFTC (Commodity Futures Trading Commission) and NFA (National Futures Association) regulatory requirements and regulatory expectation.

The ideal candidate will bring strong product and market-conduct knowledge across exchange-traded futures and commodities markets. Experience with other asset classes, including Inte...