Broker-Dealer Compliance & Risk Manager

Capital One; McLean (VA); Presencial; USD 152.000 - 173.000; Jornada completa

Descripción de la vacante

Capital One is seeking a Compliance Risk Manager to support the broker dealers compliance program in McLean, VA. The role involves risk evaluation across M&A, investment banking, underwriting, equity sales, trading, and research, plus developing innovative controls to mitigate risks.

The ideal candidate has 4+ years of compliance experience, FINRA Series 7 and 24 licenses, and strong analytical and communication skills.

Formación

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

Responsabilidades

• Conflicts reviews with Ethics Office for potential investment banking/merger deals.
• Review outside business activities and private securities transactions per FINRA rules.
• Review and approve gifts and entertainment for CBD associates.
• Review marketing materials and public appearances by CBD staff.
• Conduct compliance reviews of CBD offices per regulatory schedule.
• Track changes to supervisory designations and file Form U4/U5.
• Provide general compliance advisory services and update procedures and risk assessments.

Conocimientos

Strong analytical skills

Strong communication skills

Flexibility

Educación

Bachelor’s degree

Herramientas

Microsoft 365

Google Workspace

Excel

Descripción del empleo

Capital One is seeking a Compliance Risk Manager to support the broker dealers compliance program in McLean, VA. The role involves risk evaluation across M&A, investment banking, underwriting, equity sales, trading, and research, plus developing innovative controls to mitigate risks.

The ideal candidate has 4+ years of compliance experience, FINRA Series 7 and 24 licenses, and strong analytical and communication skills.