Monica M. Davis-Boulden
Legal and Compliance Consultant
- Role
- Senior Risk Analyst at Capital One
- Location
- Richmond, VA, US
- LinkedIn followers
- 500 followers
About Monica M. Davis-Boulden
I am skilled in Administrative and Legal Reasoning with a cross-functional background in…
Experience
Senior Risk Analyst
Mar 2025 — Present · Richmond, VA, US
Worked to identify and mitigate potential risks to the Company using various compliance surveillance tools and methods Assisted in the management of Capital One Commercial Bank’s Associate Surveillance Program. Review electronic communications for the monitored population to ensure no instances of illegal or unethical trading practices Monitor and ensure employees are not sending sensitive or proprietary information to their personal email accounts. Flagged any incidents of non-compliance or inappropriate conduct to the team manager for review Conduct reviews on employee communications for internal policy/procedure lexicon alerts Along with the licensing and registration team, manage onboarding and offboarding of monitored employees Performed trade reviews in accordance with SEC and FIRNA regulations Tested and reported on new software programming that would be used to monitor employees for compliance
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