Broker-Dealer Compliance Risk Manager

Capital One

Richmond (VA)

On-site

USD 138,000 - 158,000

Full time

13 days ago

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Job summary

Capital One seeks a Compliance Risk Manager to support its broker-dealer compliance program in the Richmond, VA area. The role covers conflicts reviews, outside business activities, gifts and entertainment, and marketing materials review to ensure regulatory compliance.

The specialist will conduct office inspections, track principal designations and Form U4/U5 filings, and provide cross-functional compliance advisory support to CBDs. Strong analytical and communication skills are essential.

Qualifications

Bachelor’s degree required.
At least 4 years of compliance experience.
FINRA licensed with Series 7 and Series 24.
Ability to collaborate with internal clients and cross-functional teams.

Responsibilities

Conflicts Reviews: Review deals for conflicts of interest with Ethics Office.
Outside Business Activities/Private Securities Transactions: Approvals per FINRA rules.
Gifts and Entertainment: Review and approve gifts for CBD associates.
Marketing Material and Public Appearance Reviews: Approve marketing content and appearances.
Office Inspections: Conduct compliance reviews of CBD offices and branches.
Designated Principals Maintenance: Track supervisory designations and Form filings.
General Compliance Support: Advise on procedures, risk assessments, and issues management.