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Broker Dealer Advisory Manager

Date Posted: May 28, 2026
Yearly: USD - USD
Job is expired

Job Detail

  • location_on
    Location Richmond, Virginia, 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 broker dealers compliance program, focusing on risk management, compliance advisory services, and the mitigation of risks associated with various financial activities. This role requires strong communication and decision-making skills, as well as a solid understanding of compliance regulations in the financial services industry.

Key responsibilities

  • Review potential investment banking and merger acquisition deals for conflicts of interest
  • Approve outside business activities and private securities transactions according to FINRA rules
  • Review gifts and entertainment requests for broker dealer associates
  • Evaluate marketing materials and public appearances by broker dealer associates
  • Conduct compliance reviews of supervisory jurisdictions and branch offices
  • Track supervisory designations and approve necessary filings
  • Provide compliance advisory services and assist in updating supervisory procedures

Required skills

  • Bachelor's degree
  • At least 4 years of compliance experience
  • FINRA licensure with valid Series 7 and 24
  • Experience 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 benefits that support total well-being
  • Performance-based incentive compensation including cash bonuses and/or long-term incentives

Skills Required

Company Overview

Capital One
Harrisonburg, Virginia, United States of America
204 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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