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Capital One Compliance Advisor Senior Manager 
United States, New York, New York 
556970207

31.08.2024

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NYC 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager
The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This rolewill support threeinstitutional FINRA registered broker dealersand provide compliancesupport to the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary. The broker dealers being supported include Capital One Securities, Inc., KippsDeSanto & Co., TripleTree, LLC. (collectively "Commercial Broker Dealers" or "CBDs"). The Compliance Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise the CBD LOBs on the need for and effective methods of managing compliance risk arising from federal and state laws and regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, SEC). The Compliance Advisor Senior Manager works within the Compliance Management Program framework and is responsible for delivering on specific tasks and repeatable processes.

The Compliance Advisor Manager maintains all organizational and professional ethical standards and has latitude for independent judgment anddecision-making.Additional responsibilities will include:

  • 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

  • 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 working for 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 adviser
  • Series 24 or 9/10
New York City (Hybrid On-Site): $172,900 - $197,300 for Compliance Advisor Sr. ManagerThis role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

. 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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