Broker-Dealer Compliance & Risk Leader

Posted 2 days ago

capital one national associationNew York (NY)

Compliance Managers Investment Banking and Securities Intermediation

SENIORITY

Mid

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About the role

Capital One in New York, NY is seeking a Broker Dealer Advisory Manager to support the CBDs compliance program. The role involves evaluating conflicts, reviewing outside activities and private securities transactions, and ensuring compliant marketing materials and appearances. The person will also conduct office inspections, maintain designated principals, and provide advisory support across risk assessments and procedures in a fast-paced financial setting.

Before you apply

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Your profile is current

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A number in mind

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Your notice period

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Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.