Associate Broker Dealer Risk Specialist
Capital One
full-time
Posted on:
Location Type: Office
Location: Richmond • New York • Virginia • United States
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Salary
💰 $81,700 - $93,300 per year
About the role
- 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 with the ability to communicate outside of function and tailor messages to audience as appropriate
Requirements
- High School Diploma, GED or equivalent certification
- At least 2 years of experience within a broker dealer registration and licensing function
- 3+ years of experience supporting, partnering, and interacting with internal business clients (preferred)
- 3+ years of broker dealer compliance experience (preferred)
- Bachelor’s degree or military experience (preferred)
- Strong analytical writing 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
- FINRA Series 99 or Series 7 license
Benefits
- Comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
broker dealer registrationbroker dealer complianceFINRA Form U4FINRA Form U5Form BRForm BDelectronic recordkeepinglicensure processinganalytical writingcommunication
Soft Skills
organizational skillstime managementflexibilityability to handle multiple prioritiesteam collaborationindependent worktailoring messagesinterpersonal skillsproblem-solvingadaptability
Certifications
High School DiplomaGEDFINRA Series 99FINRA Series 7