Broker Dealer Advisory Manager

Capital One

McLean, VA, USA
Mclean, va: $151,900 - $173,400; new york, ny: $16...
Broker dealer compliance program
Conflicts of interest reviews
Outside business activities review
Support Capital One’s broker dealers compliance program by reviewing potential deals for conflicts of interest, outside business activities, and gifts and entertainment

Job Summary

  • Support Capital One’s broker dealers compliance program by reviewing potential deals for conflicts of interest, outside business activities, and gifts and entertainment.
  • Conduct compliance reviews of various Office of Supervisory Jurisdictions and branch offices, and track changes to supervisory designations and principal lists.
  • This role is eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives.

Matching Summary

Support Capital One’s broker dealers compliance program by reviewing potential deals for conflicts of interest, outside business activities, and gifts and entertainment.

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
  • 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 solutions
  • Team collaboration

Key Requirements

  • Bachelor’s degree
  • At least 4 years of compliance experience
  • FINRA licensed with valid Series 7, and 24
  • 3+ years managing conflicts of interest
  • 3+ years supporting internal business clients

Work Rights

Not specified

Tailored Resume

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