Broker Dealer Advisory Manager

Capital One•McLean, VA

About The Position

Broker Dealer Advisory Manager Job Description The Compliance Risk Manager will support Capital One’s broker dealers compliance program. Compliance Risk Managers are highly motivated Risk Management professionals with excellent communication skills, strong judgment and decision-making skills with integrity and ownership. They have a high level of exposure across all aspects of Capital One’s Commercial broker dealer (CBDs) activities, including, but not limited to mergers and acquisitions, investment banking, underwriting, equity sales, trading and research, and secondary trading of asset backed securities as well as the opportunity to create and implement innovative solutions to identify and mitigate risks in these business activities. Key Responsibilities: Key aspects of the compliance risk manager role include: 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.

Requirements

Bachelor’s degree
At least 4 years of compliance experience
FINRA licensed with valid Series 7, and 24

Nice To Haves

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

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.

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