Broker Dealer Advisory Manager
Core
Support Capital One's broker dealers compliance program by reviewing conflicts, outside business activities, gifts, marketing materials, and conducting office inspections.
Role type
Senior IC compliance risk manager (broker dealer)
Builds
Compliance reviews and risk mitigation solutions for Commercial broker dealer activities
Domain
Financial services / Broker Dealer / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
FINRA Series 7 and Series 24 licensing, conflict of interest review, outside business activity approval, gift and entertainment review, marketing material review, office inspection, Form U4/U5 filing management, written supervisory procedures updates
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
FINRA systems, Microsoft 365, Google Workspace
Responsibilities
Review investment banking/M&A deals for conflicts; Approve outside business activities and private securities transactions; Review and approve gifts and entertainment; Review marketing materials and public appearances; Conduct compliance reviews of branch offices; Track supervisory designations and approve Form U4/U5 filings; Provide general compliance advisory services
Seniority
Senior, hands-on IC