Associate Broker Dealer Risk Specialist

Capital One • McLean, VA

32d

About The Position

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.

Requirements

• High School Diploma, GED or equivalent certification
• At least 2 years of experience within a broker dealer registration and licensing function

Nice To Haves

• 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

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

Benefits

• 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 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED
• Number of Employees: 5,001-10,000 employees