Principal Associate, Capital Markets - Mergers & Acquisitions

ocedures, lead training of other associates on Merger & Acquisition (M&A) operations while supporting existing products and services. The Principal Associate is responsible for maintaining a high standard of excellence with respect to tracking activity, interacting with internal partners and becoming a subject matter expert on specific steps in the M&A transaction process.

If a candidate does not hold a specific FINRA license needed for this role, you may be required to obtain that license within 3 months from your start date as a condition of employment.

Responsibilities will include :

• Fulfill periodic audit requests from both internal and external auditors.

• Assist internal financial operations group with daily, monthly or quarterly reports.

• Contribute to action plans aimed at increasing operational efficiencies.

• M&A deal onboarding; deal closing; deal archiving.

• M&A deal regulatory documentation and filing into the official system of record.

• M&A regulatory notifications.

• Update deal statuses in the official system of record to kick off notification to partners to begin the process.

• Conduct monthly reconciliation of M&A deals.

• Upload M&A deal documents into the official system of record to provide notification to partners.

• Develop further M&A operations management processes as needed.

A qualified candidate will have :

• Excellent written and verbal communication skills

• Excellent organizational and interpersonal skills

• Ability to multi-task and prioritize in a fast-paced, deadline-driven business environment

• Patience, creativity, and ability to be dependable and flexible to changes in schedule

• Team player that is interested in being a resource across many different clients

Work from Home Technology Requirements:

• 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 5Mbps, with 10+ Mbps preferred
  • To validate ISP speeds from a Chrome browser, go to https://www.google.com , 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

Capital One reserves the right to request proof of internet provider, speed and service package from the associate. Requirements are subject to change, as new systems and technology are delivered. Capital One reserves the right to modify internet service requirements with sixty (60) days notice. Internet Service Provider specs can change by provider and location within the US. If you are experiencing consistent issues with internet stability Capital One reserves the right to ask the agent to upgrade internet service to ensure a good customer experience.

Work from Home Living Requirements :

• Candidates must live within approximately 50 miles of one of the hub locations based in 22102, 75024 or 28203 and be comfortable coming in person whenever required with no less than 24 hours notice.

Basic Qualifications :

• High School Diploma, GED, or equivalent certification

• At least 1 year of experience with Microsoft Office (Outlook, Excel, Word, PowerPoint) or Google Suite (Sheets, Slides, Docs)

• At least 1 year of experience in Business Process Management, Project Management, Relationship Management or Risk Management

• At least 4 years of operations experience

• At least 4 years of middle or back office experience

Preferred Qualifications :

• Bachelor's Degree or Military experience

• FINRA SIE, Series 79 or Series 99

• 4+ year of experience working with Mergers and Acquisitions

• 4+ years of experience with a broker dealer

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

#CommOps

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 Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at [email protected] . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to [email protected]

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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).