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McLean, United States Capital One Full time

Job Description:

  • Senior Manager position in Compliance Advisory for Commercial Broker Dealer
  • Support three institutional broker dealers
  • Manage team of associates to ensure compliance with federal and state laws
  • Keep abreast of financial industry regulations
  • Provide guidance on compliance risks and support lines of business
  • Assist in designing compliance monitoring and testing
  • Help maintain firm's books and records
  • Promote a culture of compliance and managed risk taking
  • Travel to various locations as required

Qualifications:

  • Bachelor's Degree or military experience
  • 7+ years of experience in compliance, legal, audit, operations, or finance within financial services
  • FINRA licensed with valid Series 7 or 79
  • Master's Degree or Juris Doctor preferred
  • 8+ years of experience in compliance, legal, audit, operations, or finance within financial services preferred
  • 4+ years of people management experience preferred
  • Series 24 or 9/10 preferred

Additional Information:

  • Competitive annual salary based on location
  • Performance-based incentive compensation
  • Comprehensive benefits package
  • Equal opportunity employer committed to diversity and inclusion
  • Drug-free workplace policy
  • Consideration for applicants with criminal history in line with applicable laws