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Broker Dealer Advisory Manager

Date Posted: May 28, 2026
Yearly: USD - USD
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Job Detail

  • location_on
    Location West New York, New York, United States of America
  • desktop_windows
    Job Type: Permanent
  • schedule
    Shift:
  • analytics
    Career Level:
  • group
    Positions:
  • calendar_view_day
    Experience:
  • male
    Gender: No Preference
  • school
    Degree:
  • calendar_month
    Apply Before: Jun 28, 2026
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Job Description

Overview

The Broker Dealer Advisory Manager at Capital One will support the compliance program for broker dealers. This role involves significant exposure to various compliance activities associated with investment banking, mergers and acquisitions, and trading, as well as the implementation of solutions to mitigate risks.

Key responsibilities

  • Review potential investment banking and mergers and acquisition deals for conflicts of interest
  • Approve outside business activities and private securities transactions in accordance with FINRA regulations
  • Review and approve gifts and entertainment for broker dealer associates
  • Review marketing materials and public appearances by associated persons
  • Conduct compliance reviews of various branch offices
  • Track changes to supervisory designations and approve relevant filings
  • Provide compliance advisory services across broker dealer activities

Required skills

  • Bachelor's degree
  • At least 4 years of compliance experience
  • FINRA licensed with valid Series 7 and 24
  • 3+ years managing conflicts of interest and marketing material reviews
  • Strong analytical and communication skills
  • Proficiency in Microsoft 365 and Google Workspace
  • Excellent organizational and time management skills
  • Ability to manage multiple priorities

What the company offers

  • Comprehensive, competitive, and inclusive health and financial benefits

Skills Required

Company Overview

Capital One
Harrisonburg, Virginia, United States of America
206 Current Jobs Openings

Capital One is a financial services company focused on technology and innovation in banking. They leverage machine learning to enhance customer experiences and deliver personalized banking services. The company is dedicated to responsible AI developm... Read More

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