Commercial Broker Dealer Compliance Advisor - Senior Manager

Plano, TX, United States

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

FINRA licensed with valid Series 7 or 79

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

Series 24 or 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

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.

This 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.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. Capital One promotes a drug-free workplace. 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; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

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 [email protected]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to [email protected]

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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).