Capital One
Principal Swap Dealer Compliance Advisor
$121K–$150K
New York, NY +1 · Principal · Full-time · Posted Sep 25, 2026
- Location
- New York, NY
McLean, VA - Experience
- At least 3 years in a relevant financial-services field and at least 3 years translating regulatory requirements into operational processes; preferred: 4+ years in Compliance, Audit, regulatory, or line-of-business risk.
- Education
- Bachelor’s degree or military experience.
- Visa sponsorship
- Capital One will not sponsor a new applicant for employment authorization for this position.
About the job
Advises Capital One’s Commercial Banking and Corporate Treasury teams on swap and futures compliance, while managing Swap Dealer Compliance program processes and risk reporting.
What you'll do
- Advise business and operations teams on CFTC swap regulations and exchange rules; assess compliance risks and controls.
- Support the Swap Dealer Compliance program, including policies, reports, training, testing, audits, and regulatory inquiries.
- Coordinate with Legal, outside counsel, Compliance Assurance, Surveillance, and business leads on rule changes and risk mitigation.
What they ask for
- Bachelor’s degree or military experience.
- At least 3 years of experience in swap dealer, compliance, legal, risk management, or audit within financial services.
- At least 3 years of experience translating regulatory requirements into operational processes and business solutions.
Nice to have
- Juris doctor; 4+ years of Compliance, Audit, regulatory, or line-of-business risk experience.
- Working knowledge of Title VII swap dealer requirements and familiarity with OTC swaps and/or futures contracts.
Pay
USD $120,800 - $137,900 base salary (McLean, VA); USD $131,800 - $150,500 base salary (New York, NY)
Tools
CFTC, NFA, Designated Contract Market (DCM)
AI focus
Leverage AI and emerging technologies to optimize compliance workflows.
Model-written summary · the original posting is authoritative