Broker Dealer Advisory Manager

Capital One

McLean, VA, US
Mclean, va: $151,900 - $173,400; new york, ny: $16...
Broker dealer compliance program support
Conflicts of interest reviews
Outside business activities review
Support Capital One’s broker dealers compliance program, covering activities like mergers and acquisitions, investment banking, and trading

Job Summary

  • Support Capital One’s broker dealers compliance program, covering activities like mergers and acquisitions, investment banking, and trading.
  • Key responsibilities include reviewing potential conflicts of interest, outside business activities, gifts and entertainment, and marketing materials.
  • Conduct compliance reviews of offices, manage principal designations, and provide general compliance advisory services.

Matching Summary

Support Capital One’s broker dealers compliance program, covering activities like mergers and acquisitions, investment banking, and trading.

Salary

McLean, VA: $151,900 - $173,400; New York, NY: $165,700 - $189,200; Richmond, VA: $138,100 - $157,700; Bonus/Equity: Performance based incentive compensation; Benefits: Comprehensive, competitive, and inclusive set of health, financial and other benefits

Skills & Requirements

Must-have

  • Broker dealer compliance program support
  • Conflicts of interest reviews
  • Outside business activities review
  • Marketing material review
  • Office of Supervisory Jurisdictions inspections

Nice-to-have

  • Excellent communication skills
  • Strong judgment and decision-making
  • Integrity and ownership
  • Innovative solution development
  • Team collaboration

Key Requirements

  • Bachelor’s degree
  • 4 years compliance experience
  • Series 7 and 24 licenses
  • 3+ years managing conflicts of interest
  • 3+ years supporting internal business clients

Work Rights

Not specified

Tailored Resume

Cover Letter