Manager, Platform Operations Risk Management
Capital One
PMP
Associate Broker Dealer Risk Specialist
Capital One
full-time
Posted on:
Location Type: Office
Location: Richmond • Virginia • 🇺🇸 United States
Visit company websiteSalary
💰 $72,800 - $91,400 per year
Job Level
JuniorMid-Level
About the role
- Provide support to the FINRA registration and licensing process for associates and the Commercial Broker Dealers
- Facilitate onboarding processes for registered and non-registered fingerprinted associates
- Utilize FINRA’s Gateway / CRD System to process FINRA Form U4s, U4 Amendments, and Form U5s
- Process State licensure requirements
- Process Form BRs for OSJ and Branch Office locations and Form BD
- Electronic recordkeeping and maintenance in accordance with FINRA regulatory requirements
- Day-to-day monitoring of team mailbox and communicate appropriately as per audience
Requirements
- High School Diploma, GED or equivalent certification
- At least 3 years of compliance or operational experience
- 4+ years of experience within a broker dealer registration and licensing function or similar compliance experience (preferred)
- 3+ years of experience supporting, partnering, and interacting with internal business clients (preferred)
- Strong analytical writing and communication skills
- Proficiency in Microsoft 365 and Google Workspace
- Ability to learn various compliance systems
- Excellent organizational and time management skills
- Ability to handle and deliver multiple priorities
- FINRA Series 99 or Series 7 license (preferred)
Benefits
- Health insurance
- 401(k) matching
- Performance based incentive compensation
- Cash bonuses
- Long term incentives (LTI)
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance experiencebroker dealer registrationlicensing functionFINRA Form U4FINRA Form U5State licensure requirementselectronic recordkeepingregulatory requirementsanalytical writingtime management
Soft skills
communication skillsorganizational skillsability to handle multiple prioritiesinterpersonal skillspartnering skills
Certifications
High School DiplomaGEDFINRA Series 99FINRA Series 7