Broker Dealer Advisory Manager
Capital One
full-time
Posted on:
Location Type: Office
Location: New York City • New York • Virginia • United States
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Salary
💰 $151,900 - $189,200 per year
About the role
- Support Capital One’s broker dealers compliance program.
- Work with the enterprise Ethics Office to review potential investment banking/mergers and acquisition deals for conflicts of interest.
- Review and approve outside business activities and private securities transactions in accordance with FINRA rules and regulations.
- In coordination with the enterprise Ethics Office, review and approve gifts and entertainment for broker dealer associates as necessary.
- Conduct compliance reviews of the CBDs’ various Office of Supervisory Jurisdictions and branch offices according to the appropriate regulatory schedule.
- Track changes to supervisory designations, office locations, principal lists and approve Form U4 and U5 filings.
- Provide compliance advisory services as needed across the CBDs, including assisting in updating written supervisory procedures, risk assessments, issues management and other general compliance program elements.
Requirements
- Bachelor’s degree
- At least 4 years of compliance experience
- FINRA licensed with valid Series 7, and 24
- 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
- Flexibility in handling small, medium, large efforts
- Excellent organizational and time management skills
- Ability to handle and deliver multiple priorities.
Benefits
- Capital One offers a 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
compliance experienceconflicts of interest managementgifts and entertainment reviewmarketing material reviewbroker dealer branch inspectionsrisk assessmentswritten supervisory proceduresissues managementFINRA rules and regulationsForm U4 and U5 filings
Soft Skills
analytical skillscommunication skillsorganizational skillstime management skillsflexibilityability to handle multiple priorities
Certifications
Bachelor's degreeFINRA Series 7FINRA Series 24