Capital Markets Senior Associate

Capital Markets Senior Associate

Are you looking for a challenging role that includes the convenience of working virtually from home? This Capital One Commercial Ops position may be the role for you! You must be within 50 miles driving distance from one of our Capital One hubs in Charlotte, NC or Plano, TX.

Capital One is looking for an experienced, motivated professional to join a growing brokerage firm. The position will be part of the Commercial Operations team and will involve processing functions that include but are not limited to clearing, securities settlements, trade confirmations, funds flow, reporting and various other aspects in support of several lines of business.

• Process trade allocations and step‑ins
• Proactively monitor trade settlement and quickly resolve any exceptions that prevent trades from settling
• Work with clearing broker and client back offices to ensure accurate bookings
• Process derivative transactions (commodities, FX and interest rates)
• Register, process, and book asset‑backed securities for primary offerings
• Fulfill periodic audit requests from internal and external auditors
• Download and review daily trading documentation
• Assist internal financial operations group with daily, monthly, and quarterly reports
• Develop further trading operations management processes as needed
• Maintain customer database and opening/maintenance of customer trading accounts
• Manage customer files and electronic record keeping
• Handle M&A deal onboarding, closing, and archiving
• File M&A regulatory documentation into the official system of record
• Provide regulatory notifications for M&A triggers
• Update deal statuses in the system to trigger partner notifications
• Conduct monthly reconciliation of M&A deals
• Upload M&A deal documents into the system of record
• Possess experience in securities business and familiarity with settlement processes
• Have exposure to M&A operations and derivative operations trade life cycles
• Have experience with regulatory reporting
• Contribute to action plans aimed at increasing operational efficiencies

• Secure home office environment free from background noise and distractions
• Reliable private internet connection using cable or fiber (no cellular hotspot or satellite)
• Private network that is password protected and provides ownership or line of sight to each device
• Internet service must meet at least 5 Mbps download speed, preferred 10 Mbps+, via VPN
• Both wired and Wi‑Fi connections acceptable if speed and security requirements are met

• Candidates must live within approximately 50 miles of one of the hub locations based in 28203 or 75024 and be comfortable coming in person whenever required with no less than 24 hours notice.

• High School Diploma, GED, or equivalent certification
• At least 3 years of operations experience
• At least 3 years of middle, back office, or settlement experience

• Bachelor’s Degree or military experience
• FINRA Series 7, 79, or 99 license
• 4+ years of experience in broker‑dealer
• 4+ years of experience with asset‑backed securities
• 4+ years of experience with securities clearing software
• 4+ years of experience with mergers and acquisitions
• 4+ years of experience with swap dealer or Dodd‑Frank regulations

Capital One is an equal‑opportunity employer (EOE, including disability/veteran). We are committed to non‑discrimination in compliance with applicable federal, state, and local laws. We will consider qualified applicants with a criminal history in a manner consistent with applicable laws and regulations.

Charlotte, NC: $78,400–$89,500 for Senior Ops Associate
Plano, TX: $78,400–$89,500 for Senior Ops Associate

Eligible for performance‑based incentive compensation, including cash bonus(es) and/or long‑term incentives (LTI). Benefits include health, financial and other perks; eligibility varies by status.

This role is expected to accept applications for at least 5 business days.
No agencies, please. For support or questions about the recruiting process, email us at  For accommodations, contact Recruitin

Capital One reserves the right to request proof of internet provider and service package from the associate. Requirements are subject to change. Capital One reserves the right to modify internet service requirements with 60 days notice.