
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 in accordance with FINRA regulations, and performing office inspections of branch locations. The position also involves managing gifts and entertainment policies, reviewing marketing materials, and maintaining supervisory designations. This opportunity appeals to professionals seeking to implement innovative risk mitigation solutions in a dynamic environment covering investment banking, trading, and equity sales. The role requires strong analytical and communication skills to partner with internal business clients and offers a collaborative culture focused on integrity and ownership.











