Capital Markets Senior Associate

** Responsibilities include**:
***** Process trade allocations and step-ins
* Proactively monitor trade settlement and quickly resolve any exceptions causing trades not to settle
* 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 both 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
* Data entry and maintenance of customer database
* Customer trading account opening and maintenance
* Customer file maintenance and electronic record keeping management of customer files
* M&A deal onboarding; deal closing; deal archiving
* M&A deal regulatory documentation and filing into official system of record
* M&A regulatory notifications
* Update deal statuses in official system of record to kick off notification to partners to begin process
* Conduct monthly reconciliation of M&A deals
* Upload M&A deal documents into official system of record to provide notification to partners
* Experience in securities business and familiarity with settlement process
* Exposure to M&A operations
* Exposure to Derivatives Operations and trade life cycles
* Experience with Regulatory Reporting
* Contribute to action plans aimed at increasing operational efficiencies
* A secure home office environment that is free from background noise and distractions
* A reliable private internet connection that is not supplied via cellular data or hotspot   + A private network that is password protected where you have ownership or line of sight to every device on the network  + Internet service must be provided by Cable or fiber Internet Service Provides (ISP)  + Hotspots and satellite services are prohibited and do not meet performance criteria required for optimal agent/customer interactions  + ISP download speeds on VPN must be at least 5

Mbps, with 10+ Mbps preferred  + To validate ISP speeds from a Chrome browser, go to, type Speed Test and run from the Google landing page
* Both Hardwire and WiFi internet connections are acceptable as long as speed and security requirements are met
** Work from Home Living Requirements**:
****** Basic Qualifications**:
***** 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
** Preferred Qualifications**:
***** 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 working with securities clearing software
* 4+ years of experience working with Mergers and Acquisitions
* 4+ years of experience with Swap Dealer or Dodd Frank Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
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