# Broker Dealer Advisory Manager

**Company**: Capital One
**Location**: New York, NY
**Experience**: senior
**Job type**: full-time
**Salary**: $151,900 - $173,400 for McLean, VA; $165,700 - $189,200 for New York, NY; $138,100 - $157,700 for Richmond, VA
**Category**: Finance
**Industry**: Finance

**Apply**: https://capitalone.wd12.myworkdayjobs.com/en-US/Capital_One/job/New-York-NY/Broker-Dealer-Advisory-Manager_R1001593-1?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_2c92bd6d-aeb

## Description

The Broker Dealer Advisory Manager will support Capital One's broker dealers compliance program. This role involves highly motivated Risk Management professionals with excellent communication skills, strong judgment and decision-making skills with integrity and ownership.

**Key Responsibilities:**

- Conflicts Reviews: Work with the enterprise Ethics Office to review potential investment banking/mergers and acquisition deals for conflicts of interest.

- Outside Business Activities/Private Securities Transactions: Review and approve outside business activities and private securities transactions in accordance with FINRA rules and regulations.

- Gifts and Entertainment: In coordination with the enterprise Ethics Office, review and approve gifts and entertainment for broker dealer associates as necessary.

- Marketing Material and Public Appearance Reviews: Review and approve as necessary marketing materials distributed on behalf of the CBDs and any public appearances by CBD associated persons.

- Office Inspections: Conduct compliance reviews of the CBDs' various Office of Supervisory Jurisdictions and branch offices according to the appropriate regulatory schedule.

- Designated Principals Maintenance: Working closely with the Registration and Licensing function, track changes to supervisory designations, office locations, principal lists and approve Form U4 and U5 filings.

- General Compliance Support: 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.

**Basic Qualifications:**

- Bachelor's degree

- At least 4 years of compliance experience

- FINRA licensed with valid Series 7 and Series 24

**Preferred Qualifications:**

- 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

The minimum and maximum full-time annual salaries for this role are: McLean, VA: $151,900 - $173,400 New York, NY: $165,700 - $189,200 Richmond, VA: $138,100 - $157,700

## Skills

### Required
- FINRA
- Series 7
- Series 24
- Compliance
- Risk Management

### Nice to have
- Microsoft 365
- Google Workspace
- Analytical skills
- Communication skills

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Source: [Apply at capitalone.wd12.myworkdayjobs.com](https://capitalone.wd12.myworkdayjobs.com/en-US/Capital_One/job/New-York-NY/Broker-Dealer-Advisory-Manager_R1001593-1?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)