Associate Broker Dealer Risk Specialist
Capital One
Associate Broker Dealer Risk Specialist
Job Description
Overview
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 surveillance 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 associatesUtilize FINRA’s Gateway / CRD System to:Process FINRA Form U4s, U4 Amendments, and Form U5sProcess State licensure requirementsProcess Form BRs for OSJ and Branch Office locations and Form BD.Electronic recordkeeping and maintenance in accordance with FINRA regulatory requirementsDay-to-day monitoring of team mailbox with the ability to communicate outside of function and tailor messages to audience as appropriateBasic Qualifications:High School Diploma, GED or equivalent certification
At least 3 years of compliance or operational experience
4+ years of experience within a broker dealer registration and licensing function or similar compliance experience
3+ years of experience supporting, partnering, and interacting with internal business clients
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.
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.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.comCapital 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).
Locations
- Richmond, Virginia, United States
- McLean, Virginia, United States
- New York, New York Richmond, VirginiaRichmond
Salary
Estimated Salary Rangemedium confidence
50,000 - 85,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- Compliance and risk managementintermediate
- FINRA systems (Gateway/CRD)intermediate
- Regulatory processingintermediate
- Communication skillsintermediate
- Analytical writingintermediate
- Organizational skillsintermediate
- Time managementintermediate
Required Qualifications
- High School Diploma, GED or equivalent certification (experience)
- At least 3 years of compliance or operational experience (experience)
- 4+ years of experience within broker dealer registration and licensing (preferred) (experience)
- FINRA Series 99 or Series 7 license (preferred) (experience)
- Proficiency in Microsoft 365, Google Workspace (preferred) (experience)
Responsibilities
- Facilitate onboarding processes for fingerprinted associates
- 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 per FINRA requirements
- Monitor team mailbox and communicate appropriately
Benefits
- general: Comprehensive, competitive, and inclusive set of health, financial and other benefits
Answer 10 quick questions to check your fit for Associate Broker Dealer Risk Specialist @ Capital One.
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Associate Broker Dealer Risk Specialist
Capital One
Associate Broker Dealer Risk Specialist
Job Description
Overview
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 surveillance 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 associatesUtilize FINRA’s Gateway / CRD System to:Process FINRA Form U4s, U4 Amendments, and Form U5sProcess State licensure requirementsProcess Form BRs for OSJ and Branch Office locations and Form BD.Electronic recordkeeping and maintenance in accordance with FINRA regulatory requirementsDay-to-day monitoring of team mailbox with the ability to communicate outside of function and tailor messages to audience as appropriateBasic Qualifications:High School Diploma, GED or equivalent certification
At least 3 years of compliance or operational experience
4+ years of experience within a broker dealer registration and licensing function or similar compliance experience
3+ years of experience supporting, partnering, and interacting with internal business clients
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.
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.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.comCapital 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).
Locations
- Richmond, Virginia, United States
- McLean, Virginia, United States
- New York, New York Richmond, VirginiaRichmond
Salary
Estimated Salary Rangemedium confidence
50,000 - 85,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- Compliance and risk managementintermediate
- FINRA systems (Gateway/CRD)intermediate
- Regulatory processingintermediate
- Communication skillsintermediate
- Analytical writingintermediate
- Organizational skillsintermediate
- Time managementintermediate
Required Qualifications
- High School Diploma, GED or equivalent certification (experience)
- At least 3 years of compliance or operational experience (experience)
- 4+ years of experience within broker dealer registration and licensing (preferred) (experience)
- FINRA Series 99 or Series 7 license (preferred) (experience)
- Proficiency in Microsoft 365, Google Workspace (preferred) (experience)
Responsibilities
- Facilitate onboarding processes for fingerprinted associates
- 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 per FINRA requirements
- Monitor team mailbox and communicate appropriately
Benefits
- general: Comprehensive, competitive, and inclusive set of health, financial and other benefits
Answer 10 quick questions to check your fit for Associate Broker Dealer Risk Specialist @ Capital One.
10 Questions
~2 Minutes
Instant Score
Related Books and Jobs