Broker Dealer Advisory Manager
Not Disclosed•Full-TimeOn-site
location_onNYU Paulson Center, 181, Mercer Street, University Village, Manhattan, New York County, New York, 10012, United States
About the Role
The Compliance Risk Manager will support Capital One's broker dealers compliance program. This role is designed for highly motivated Risk Management professionals with excellent communication skills, strong judgment, and a sense of ownership. You will gain high-level exposure across all aspects of Capital One's Commercial broker dealer (CBDs) activities, including mergers and acquisitions, investment banking, underwriting, equity sales, trading, research, and secondary trading of asset-backed securities.
In this position, you will have the opportunity to create and implement innovative solutions to identify and mitigate risks within these complex business activities. You will work closely with the enterprise Ethics Office and Registration and Licensing functions to ensure adherence to FINRA rules and regulations regarding conflicts of interest, outside business activities, gifts, marketing materials, and office inspections.
Work location
Work model: On-site
NYU Paulson Center, 181, Mercer Street, University Village, Manhattan, New York County, New York, 10012, United States
New York, New York
Key Responsibilities
- check_circleReview potential investment banking and M&A deals for conflicts of interest with the Ethics Office
- check_circleApprove outside business activities and private securities transactions in accordance with FINRA rules
- check_circleReview and approve gifts and entertainment for broker dealer associates
- check_circleReview and approve marketing materials and public appearances for CBD associated persons
- check_circleTrack changes to supervisory designations and approve Form U4 and U5 filings
- check_circleProvide compliance advisory services and assist in updating written supervisory procedures
- check_circleConduct compliance reviews of Office of Supervisory Jurisdictions and branch offices per regulatory schedules
Requirements
- verifiedBachelor's degree
- verifiedAt least 4 years of compliance experience
- verifiedFINRA licensed with valid Series 7 and 24
- verifiedNot eligible for employment authorization sponsorship
Nice to Have
3+ years of experience managing conflicts of interest, gifts and entertainment, marketing material reviews and/or broker dealer branch inspections. 3+ years of experience supporting, partnering, and interacting with internal business clients. Strong analytical and communication skills. Proficiency in Microsoft 365, Google Workspace and aptitude to learn various compliance systems. Excel when working both independently and as part of a team. Be flexible and capable with the scope of work (small, medium, large efforts). Excellent organizational and time management skills. Ability to handle and deliver multiple priorities.
Benefits & Perks
check_circleComprehensive health, financial, and other benefits for total well-beingcheck_circlePerformance-based incentive compensation including cash bonuses and/or long-term incentives
Similar Job Opportunities
Skills, education and keywords
Skills: Microsoft 365, Google Workspace, Excel, Series 7, Series 24, Form U4, Form U5, Finra Rules.
Education: Bachelor's degree required.
Frequently asked questions about Broker Dealer Advisory Manager at Capital One
What does a Broker Dealer Advisory Manager at Capital One do?expand_more
A Broker Dealer Advisory Manager at Capital One is responsible for the following: Review potential investment banking and M&A deals for conflicts of interest with the Ethics Office; Approve outside business activities and private securities transactions in accordance with FINRA rules; Review and approve gifts and entertainment for broker dealer associates; and Review and approve marketing materials and public appearances for CBD associated persons.
What are the requirements for this Broker Dealer Advisory Manager role?expand_more
Capital One is looking for candidates who meet the following requirements: Bachelor's degree; At least 4 years of compliance experience; FINRA licensed with valid Series 7 and 24; and Not eligible for employment authorization sponsorship.
Where is the Broker Dealer Advisory Manager role at Capital One located?expand_more
Broker Dealer Advisory Manager at Capital One is based in NYU Paulson Center, 181, Mercer Street, University Village, Manhattan, New York County, New York, 10012, United States. This is a on-site role.
Is this Broker Dealer Advisory Manager job remote, hybrid, or on-site?expand_more
Capital One has listed this Broker Dealer Advisory Manager role as on-site.
How much experience is required for this Broker Dealer Advisory Manager role?expand_more
Broker Dealer Advisory Manager at Capital One typically requires 4+ years of relevant experience at the mid level level.
What skills do you need for the Broker Dealer Advisory Manager role at Capital One?expand_more
Key skills for Broker Dealer Advisory Manager at Capital One include Microsoft 365; Google Workspace; Excel; Series 7; Series 24; Form U4; Form U5; and Finra Rules.
What education is required for Broker Dealer Advisory Manager at Capital One?expand_more
Educational requirements for this role: Bachelor's degree required.
What category does the Broker Dealer Advisory Manager role belong to?expand_more
Broker Dealer Advisory Manager at Capital One is part of the accounting & finance job category on Recrutus.