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About the Role
The Compliance Risk Manager will support Capital One’s broker dealers compliance program. This role involves high exposure across all aspects of Capital One’s Commercial broker dealer (CBDs) activities, including mergers and acquisitions, investment banking, underwriting, equity sales, trading and research, and secondary trading of asset backed securities. The role offers the opportunity to create and implement innovative solutions to identify and mitigate risks in these business activities.
Responsibilities
- Review potential investment banking/mergers and acquisition deals for conflicts of interest in coordination with the enterprise Ethics Office.
- Review and approve outside business activities and private securities transactions in accordance with FINRA rules and regulations.
- Review and approve gifts and entertainment for broker dealer associates as necessary, in coordination with the enterprise Ethics Office.
- Review and approve marketing materials distributed on behalf of the CBDs and any public appearances by CBD associated persons.
- 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, working closely with the Registration and Licensing function.
- 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 Series 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
- Ability to excel when working both independently and as part of a team
- Flexibility and capability with the scope of work (small, medium, large efforts)
- Excellent organizational and time management skills
- Ability to handle and deliver multiple priorities
- Capital One will not sponsor a new applicant for employment authorization for this position.
Skills
- Risk Management
- Communication skills
- Judgment
- Decision-making skills
- Integrity
- Ownership
- Analytical skills
- Microsoft 365
- Google Workspace
- Organizational skills
- Time management skills
Location
- McLean, VA
- New York, NY
- Richmond, VA
Work Type
- Full-time
Experience Level
- 4+ years of compliance experience
- 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
Education Level
- Bachelor’s degree
Salary/Compensations
- McLean, VA: $151,900 - $173,400
- New York, NY: $165,700 - $189,200
- Richmond, VA: $138,100 - $157,700
Benefits
- Comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
- Eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI).
About the Company
- Capital One Financial is made up of several different entities.
Equal Opportunity
- Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.
- Capital One promotes a drug-free workplace.
- Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.