Broker Dealer Advisory Manager

Capital One National Association; New York (NY); On-site; USD 166,000 - 189,000; Full time

Job summary

Capital One in New York, NY is seeking a Broker Dealer Advisory Manager to support the CBDs compliance program. The role involves evaluating conflicts, reviewing outside activities and private securities transactions, and ensuring compliant marketing materials and appearances.

The person will also conduct office inspections, maintain designated principals, and provide advisory support across risk assessments and procedures in a fast-paced financial setting.

Qualifications

• Bachelor’s degree.
• At least 4 years of compliance experience.
• FINRA licensed with valid Series 7 and Series 24.
• Experience managing conflicts of interest, gifts and entertainment, marketing reviews and broker dealer inspections.

Responsibilities

• Conflicts reviews for potential investment banking/M&A deals.
• Review outside business activities and private securities transactions per FINRA rules.
• Review gifts and entertainment for CBD associates as needed.
• Review marketing materials and public appearances for CBDs.
• Conduct compliance reviews of CBD offices and branches on regulatory schedule.
• Track supervisory designations and approve Form U4/U5 filings.
• Provide compliance advisory services and update procedures and risk assessments.

Skills

Analytical skills

Communication skills

Financial services experience

Compliance programs

Education

Bachelor's degree

Tools

Microsoft 365

Google Workspace

Compliance systems

Job description

Broker Dealer Advisory Manager

Job Description

The Compliance Risk Manager will support Capital One’s broker dealers compliance program. Compliance Risk Managers 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 all aspects of Capital One’s Commercial broker dealer (CBDs) activities, including, but not limited to mergers and acquisitions, investment banking, underwriting, equity sales, trading and research, and secondary trading of asset backed securities as well as the opportunity to create and implement innovative solutions to identify and mitigate risks in these business activities.

Key Responsibilities:

Key aspects of the compliance risk manager role include:

• Conflicts Reviews: Work with the enterprise Ethics Office to review potential investment banking/mergers and acquisition deals for conflicts of interest.
• Outside Business Activities/Private Securities Transactions: Review and approve outside business activities and private securities transactions in accordance with FINRA rules and regulations.
• Gifts and Entertainment: In coordination with the enterprise Ethics Office, review and approve gifts and entertainment for broker dealer associates as necessary.
• Marketing Material and Public Appearance Reviews: Review and approve as necessary marketing materials distributed on behalf of the CBDs and any public appearances by CBD associated persons.
• Office Inspections: Conduct compliance reviews of the CBDs’ various Office of Supervisory Jurisdictions and branch offices according to the appropriate regulatory schedule.
• Designated Principals Maintenance: Working closely with the Registration and Licensing function, track changes to supervisory designations, office locations, principal lists and approve Form U4 and U5 filings.
• General Compliance Support: Provide compliance advisory services as needed across the CBDs, including assisting in updating written supervisory procedures, risk assessments, issues management and other general compliance program elements.

Basic Qualifications:

• Bachelor’s degree
• At least 4 years of compliance experience
• FINRA licensed with valid Series 7 and Series 24

Preferred Qualifications:

• 3+ years of experience managing conflicts of interest, gifts and entertainment, marketing material reviews and/or broker dealer branch inspections.
• 3+ years of experience supporting, partnering, and interacting with internal business clients
• Strong analytical and communication skills
• Proficiency in Microsoft 365, Google Workspace and aptitude to learn various compliance systems
• Excel when working both independently and as part of a team
• Be flexible and capable with the scope of work (small, medium, large efforts)
• Excellent organizational and time management skills
• Ability to handle and deliver multiple priorities

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

McLean, VA: $151,900 - $173,400 for Risk Manager

New York, NY: $165,700 - $189,200 for Risk Manager

Richmond, VA: $138,100 - $157,700 for Risk Manager

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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 [e-mail]. 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 [e-mail]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).