Broker-Dealer Compliance & Licensing Associate

Capital One; Richmond (VA); On-site; USD 72,800 - 83,100; Full time

Benefits offered by this job

Comprehensive health benefits

Performance-based incentives

Inclusive work environment

Job summary

A leading financial institution is seeking an Associate Broker Dealer Risk Specialist based in Richmond, VA. The role involves facilitating onboarding processes for registered associates, processing various compliance forms, and maintaining electronic records in line with regulatory requirements. Candidates should have at least 3 years of experience in compliance and possess excellent communication skills. The position offers a salary range from $72,800 to $83,100, alongside performance-based compensation and comprehensive benefits.

Qualifications

• At least 3 years of compliance or operational experience.
• 4+ years of experience within a broker dealer registration function preferred.
• FINRA Series 99 or Series 7 license is desired.

Responsibilities

• Facilitate onboarding processes for associates.
• Utilize FINRA’s Gateway / CRD System for processing forms.
• Monitor team mailbox and communicate outside of function as needed.

Skills

Strong judgment and decision-making

Excellent communication skills

Analytical writing

Organization and time-management

Education

High School Diploma, GED or equivalent certification

Tools

Microsoft 365

Google Workspace

Job description

A leading financial institution is seeking an Associate Broker Dealer Risk Specialist based in Richmond, VA. The role involves facilitating onboarding processes for registered associates, processing various compliance forms, and maintaining electronic records in line with regulatory requirements. Candidates should have at least 3 years of experience in compliance and possess excellent communication skills. The position offers a salary range from $72,800 to $83,100, alongside performance-based compensation and comprehensive benefits.