המקום בו המומחים והחברות הטובות ביותר נפגשים
Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to application of those rules to Asset-Backed Securities underwriting and secondary trading, Commercial Mortgage-Backed Securities, equities, equity research, investment banking and mergers and acquisitions.
Experience with trade surveillance of fixed income (asset backed securities including commercial mortgage backed securities) and equity trading.
Familiarity with securities licensing and registration protocols
Provide CBD LOBs support/advice on the application of compliance requirements (corrective action, new product or process development, change in law or regulatory environment)
Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements
Capture, maintain and analyze business area compliance data and interpret to ensure a consistent and adequate compliance risk management
Maintain and enhance the LOB’s policies and procedures to ensure they accurately reflect actual practice and address regulatory requirements
Assist in designing second line compliance monitoring and testing
Advise CBD business leaders on their obligations under the Capital One’s Compliance Management Policy
Assist in guiding CBD LOBs on the development and maintenance of processes to deliver on their responsibilities and accountabilities within the Compliance Management Program
Actively participate on complex projects through providing guidance, advise, and effective challenge
Assist in the maintenance of the firm’s books and records
Assist in the promotion of a culture of compliance and managed risk taking
Flexibility to travel to various Capital One locations as necessary
Performs other related work as assigned by a Commercial Bank Compliance Officer or the Chief Compliance Officer
Basic Qualifications
FINRA licensed with valid Series 7 or 79
Preferred Qualifications
. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
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