Broker Dealer Advisory Manager
Core
Support Capital One's broker dealers compliance program by managing conflicts, outside business activities, gifts, marketing reviews, office inspections, and regulatory filings for Commercial Broker Dealer activities.
Role type
Senior IC compliance risk manager
Builds
Compliance program elements and risk mitigation solutions for broker dealer business activities
Domain
Financial services / Broker Dealer / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
FINRA Series 7 and Series 24 licensing, conflict of interest review, outside business activity approval, gifts and entertainment review, marketing material review, office inspection, Form U4/U5 filing management, risk assessment
Preferred skills
Managing conflicts of interest, gifts and entertainment, marketing material reviews, broker dealer branch inspections, partnering with internal business clients, Microsoft 365 and Google Workspace proficiency
Technologies
Microsoft 365, Google Workspace, compliance systems
Responsibilities
Review potential investment banking/M&A deals for conflicts of interest; Review and approve outside business activities and private securities transactions; Review and approve gifts and entertainment; Review and approve marketing materials and public appearances; Conduct compliance reviews of Office of Supervisory Jurisdictions and branch offices; Track changes to supervisory designations and approve Form U4 and U5 filings; Provide general compliance advisory services including updating written supervisory procedures and risk assessments