at Capital One in Chicago, Illinois, United States
Job Description
Center 2 (19050), United States of America, McLean, Virginia
Commercial Broker Dealer Compliance Advisor - Senior Manager
The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role willsupportthree institutional FINRA registered broker dealers andprovidecompliance supportthe 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 manage a team of associates (registrations and licensing professionals and a compliance advisor) who interact with and advises 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, NASDAQ and 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 and decision-making. Additional responsibilities will include:
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 or... For full info follow application link.
Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.
All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.
Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
