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