Commercial Broker Dealer Compliance Advisor - Senior Manager

Center 1 (19052), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer.

This role will support three institutional FINRA registered broker dealers and provide compliance support 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 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

Preferred Qualifications

• Master’s Degree or Juris 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 people management experience
• FINRA licensed with valid Series 7, Series 79, Series 24 or Series 9 / 10

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting.

Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

New York City (Hybrid On-Site) : $172,900 - $197,300 for Compliance Advisor Sr. Manager