Brokerage Operations Principal Assoc - Capital One Investing - Wilmington, DE OR Plano, TX

  • Company: Capital One
  • Posted: December 24, 2016
  • Reference ID: R16545
Plano 2 (31062), United States of America, Plano, Texas

Brokerage Operations Principal Assoc - Capital One Investing - Wilmington, DE OR Plano, TX

Just a cool company looking for cool people. At Capital One, we march to a different beat! While we may be a top-10 bank by deposits, we operate and innovate with the punch of a start-up. With thousands of employees, we never lose anyone in the shuffle, but celebrate individuals with respect and exceptional benefits. And we don’t just fill positions, we recruit the best and the brightest people that know how to set industry trends and WOW customers. Today we are a high-tech company, a scientific laboratory, and a nationally recognized brand all in one that reaches fifty+ millions of customers.

Capital One Investing is booming in Plano, TX. If you think you’re a fit for our team, ask yourself these questions:

- Are you a daily out of the box thinker?
- Do you like to work smarter, not harder?
- Is your motto, “the only thing that is constant is change?”

This position is the senior subject matter expert within multiple functional areas of Brokerage Operations. Functional areas are related to operational processing, vendor management and risk & control within Broker Dealer, Investment Advisor, and Insurance Agency Operations. Ensuring that all functions are performed timely with a high quality standard is essential for this role.

Effectiveness in this role requires strong leadership abilities and a solid working knowledge of back office brokerage operations, as well as, the application of business policies and industry rules and regulations including but not limited to FINRA, SEC IRS, Fed Reserves, NACHA and OCC. Ensuring compliance with industry regulation and Capital One control standards is vital in this role.

Coaching and training associates to high performance and working closely with managers to ensure workloads of the team are stable and required procedures are covered. Ability to communicate effectively at different levels across the organization and with external third parties is essential in this position.

- Team Lead for the processing activities of 3 to 5 operations associates

- Contributing to mid-year and year end individual performance appraisals

- Ownership and accountability for given functions

- Perform as subject matter expert in the assigned areas(s)

- Ownership of procedures categorized as “control” procedures

- Ensure that evidence of controls being performed is readily available
- Minimize risk exposure to both client and firm
- Participate in user acceptance testing and post production testing
- Review, research and respond to customer escalations while providing an exceptional experience
- Work with various internal and external business partners to research and resolve issues in an accurate and timely manner
- Participate in updating current procedures and documenting new procedures
- Provide training to team members or other departments
- Stay current on industry rules or regulations that pertain to areas of responsibility and advise management of upcoming changes

- Attend industry or professional seminars and conferences
- Participate in business continuity testing and disaster recovery plans
- Identification and escalation of potential fraudulent activity
- Work with the team to improve work processes resulting in reduced costs for greater profitability, productivity and improved customer service quality
- Participate in departmental responsibilities as assigned

- Responsible for production accuracy and meeting SLA requirements

- Work with the team to improve work processes resulting in reduced costs for greater profitability, productivity and improved customer service quality

- Provide support to other team member as necessary

- Participate in various ad hoc responsibilities and project requests

- Strong leadership abilities in order to function as a team lead, build morale and assist in keeping employee engagement scores high

- Enthusiastic leadership skills with the ability to influence others
- Working knowledge of brokerage industry and retirement products
- Ability to motivate and coach to high performance
- Strong decision making skills based on knowledge, experience, and input from others
- Good people skills for building relationships with colleagues at all levels
- Ability to plan and prioritize your own work as well as others

- Ability to be flexible and work in a fast-paced, complex environment

- High School diploma, GED, equivalent certification or military experience
- At least 4 years of brokerage industry experience

- Bachelor’s degree
- 5+ years of brokerage industry experience

- FINRA Series 4

- FINRA Series 7

- FINRA Series 24

- FINRA Series 63 and 65 or FINRA Series 66

- FINRA Series 99 

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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