Senior Risk Associate (Trade Surveillance)

Senior Risk Associate (Trade Surveillance) The Risk Specialist will support Capital Oneu2019s broker dealer trade surveillance program. Risk Specialists are highly motivated Risk Management professionals with excellent communication skills, strong judgment and decision-making skills with integrity and ownership. They have a high level of exposure across secondary trading of asset backed securities (ABS), U.S. Treasuries (UST) and equities as well as the opportunity to create and implement innovative solutions to identify and mitigate potential risks to the Company using various compliance surveillance tools and methods. Key Responsibilities: Key aspects of the trade surveillance analyst role include: + Procedure and Parameter Review: Analysts review and update procedures and parameters within the Validus platform and run curated test scenarios to ensure the adequacy of trade surveillance. + Alert Review and Escalation: Analysts review all trade alerts generated by the Validus system. Alerts are expected to be resolved within 30 days, and any potential violations are escalated according to an escalation matrix. + Documentation of Reviews: All trade alert reviews are documented within the Validus platform, with evidence of reviews including a

Created: 2026-02-02