Capital One Commercial Broker Dealer Compliance Advisor - Senior Manager 

United States, Virginia, Arlington 

673278929

• Manage a team of two registrations professionals and one compliance advisor

• Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element CE, email surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales

• Experience with 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

• Produce results within a team and support more senior and junior advisors

• 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

• Bachelor's Degree or military experience
• At least 7 years of experience working in compliance, legal, audit, operations, or finance within financial services OR at least 7 years of experience with a regulator overseeing broker dealers or investment advisers
• FINRA licensed with valid Series 7 or 79

Preferred Qualifications

• Master’s Degree orJuris Doctor
• 8+years of experience working in compliance, legal, audit, operations, or finance within financial services OR 8+ years of experience with a regulator overseeing broker dealers or investment advisers
• 4+ years of peoplemanagement experience
• Series 24 or 9/10

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.