
The Broker Dealer Advisory Manager role supports Capital One's Commercial Broker Dealer compliance program within the Risk Management team. Key responsibilities include conducting conflicts of interest reviews for mergers and acquisitions, approving outside business activities and private securities transactions under FINRA rules, and managing gifts, entertainment, and marketing material approvals. The position also involves performing office inspections and maintaining designated principal records. This opportunity appeals to professionals seeking to implement innovative risk mitigation solutions across diverse financial activities including investment banking and trading. The role requires strong analytical and communication skills to partner with internal business clients and offers a collaborative environment focused on integrity and ownership.
