Broker Dealer Advisory Manager
Not Disclosed•Full-TimeOn-site
location_onGrace Street Commercial Historic District, Byrd Street Cycle Track, Richmond, Virginia, 23284, 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 who bring 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 the 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 partner with the enterprise Ethics Office to review potential deals for conflicts of interest, approve outside business activities and private securities transactions in accordance with FINRA rules, and manage gifts and entertainment protocols. Additionally, you will review marketing materials and public appearances, conduct compliance reviews of various offices, and maintain designated principal lists and regulatory filings.
Hiring Process
Capital One is committed to a fair and efficient recruiting process. We expect this role to accept applications for a minimum of 5 business days. Please note that no agencies are accepted for this position. If you require an accommodation during the application or interview process, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information provided will be kept confidential and used solely to provide necessary accommodations.
Equal Opportunity & Culture
Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. We promote a drug-free workplace and will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws, including Article 23-A of the New York Correction Law and other relevant local regulations.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits that support your total well-being. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
Important Notice
At this time, Capital One will not sponsor a new applicant for employment authorization for this position. The actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter, based on the location of the work.
Work location
Work model: On-site
Grace Street Commercial Historic District, Byrd Street Cycle Track, Richmond, Virginia, 23284, United States
Richmond, Virginia
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_circleConduct compliance reviews of Office of Supervisory Jurisdictions and branch offices
- 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
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_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
Day-to-day, the Broker Dealer Advisory Manager at Capital One will 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
To qualify for the Broker Dealer Advisory Manager at Capital One position, applicants should have: 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 Grace Street Commercial Historic District, Byrd Street Cycle Track, Richmond, Virginia, 23284, 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.