Broker-Dealer Compliance Risk Lead

Capital One

Richmond (VA)

On-site

USD 138,000 - 158,000

Full time

3 days ago

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Benefits offered by this job

Performance incentives

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Job summary

Capital One seeks a Compliance Risk Manager to support the CBDs compliance program. You will work across mergers, underwriting, trading, and research to identify and mitigate risks, partnering with Ethics and Licensing teams.

Strong communication and judgment are essential. Responsibilities include conflicts reviews, OBAs, gifts reviews, marketing material approvals, inspections, principal maintenance, and broad compliance support.

Qualifications

Bachelor’s degree required for this role.
At least 4 years of compliance experience.
FINRA license with Series 7 and Series 24 required.

Responsibilities

Conflicts Reviews: review deals for conflicts of interest with Ethics Office.
Outside Business Activities/Private Securities Transactions: review/approve per FINRA rules.
Gifts and Entertainment: review/approve gifts and entertainment for CBD associates.
Marketing Material and Public Appearance Reviews: review/distribute approvals as needed.
Office Inspections: conduct compliance reviews of CBD offices per regulatory schedule.
Designated Principals Maintenance: track supervisory designations and Form filings.
General Compliance Support: advise on SOPs, risk assessments, issues management.