Associate Broker Dealer Risk Specialist

Associate Broker Dealer Risk Specialist

The Associate Risk Specialists supporting Capital One’s Commercial Broker Dealers are highly motivated Risk Management professionals with excellent communication skills, strong judgment and decision-making skills with integrity and ownership. They have a high level of exposure across multiple lines of business as well as the opportunity to create and implement innovative solutions to identify and mitigate potential risks to the Company using various compliance tools and methods. The Associate Risk Specialist’s primary responsibilities will be to provide support to the FINRA registration and licensing process for associates and the Commercial Broker Dealers.

Key Responsibilities:

• Facilitate onboarding processes for registered and non-registered fingerprinted associates

• Utilize FINRA’s Gateway / CRD System to:

• Process FINRA Form U4s, U4 Amendments, and Form U5s

• Process State licensure requirements

• Process Form BRs for OSJ and Branch Office locations and Form BD.

• Electronic recordkeeping and maintenance in accordance with FINRA regulatory requirements

• Day-to-day monitoring of team mailbox with the ability to communicate outside of function and tailor messages to audience as appropriate

Basic Qualifications:

• High School Diploma, GED or equivalent certification

• At least 2 years of experience within a broker dealer registration and licensing function

Preferred Qualifications

• 3+ years of experience supporting, partnering, and interacting with internal business clients

• 3+ years of broker dealer compliance experience.

• Bachelor’s degree or military experience

• Strong analytical writing and communication skills

• Proficiency in Microsoft 365, Google Workspace and aptitude to learn various compliance systems

• Excel when working both independently and as part of a team

• Be flexible and capable with the scope of work (small, medium, large efforts)

• Excellent organizational and time management skills

• Ability to handle and deliver multiple priorities

• FINRA Series 99 or Series 7 license

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.

McLean, VA: $81,700 - $93,300 for Risk Specialist

New York, NY: $89,200 - $101,700 for Risk Specialist

Richmond, VA: $74,200 - $84,700 for Risk Specialist

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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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]

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).