Broker-Dealer Compliance Risk Lead

Capital One; Richmond (VA); On-site; USD 138,000 - 158,000; Full time

Job summary

Capital One in Richmond, VA seeks a Broker Dealer Advisory Manager to support the CBDs compliance program. You will review conflicts, activities, gifts, marketing materials, and conduct office inspections while advising on risk and procedures across the CBDs.

The role requires a bachelor’s degree, at least 4 years of compliance experience, and FINRA licenses Series 7 and 24. It includes salary ranges and incentive opportunities with a comprehensive benefits package.

Qualifications

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

Responsibilities

• Conflicts reviews with the Ethics Office for deals.
• Review and approve outside business activities and private securities transactions as per FINRA rules.
• Review gifts and entertainment in coordination with the Ethics Office.
• Review and approve marketing materials and public appearances by CBD associates.
• Conduct compliance reviews of CBD offices and supervisory jurisdictions.
• Track changes to supervisory designations, office locations, and Form U4/U5 filings.
• Provide compliance advisory services and update procedures and risk assessments.

Skills

Analytical skills

Communication skills

Excel

Organizational skills

Multitasking

Flexibility

Education

Bachelor’s degree

Tools

Microsoft 365

Google Workspace

Job description

Capital One in Richmond, VA seeks a Broker Dealer Advisory Manager to support the CBDs compliance program. You will review conflicts, activities, gifts, marketing materials, and conduct office inspections while advising on risk and procedures across the CBDs.

The role requires a bachelor’s degree, at least 4 years of compliance experience, and FINRA licenses Series 7 and 24. It includes salary ranges and incentive opportunities with a comprehensive benefits package.