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Senior Compliance Manager for Financial Institutions

1 week ago


New York, New York, United States Capital One Full time

Capital One, a leading financial institution, is seeking an experienced Senior Compliance Manager to join our team.

The ideal candidate will have a strong background in compliance, with a minimum of 7 years of experience working in a financial services environment. FINRA licensed with valid Series 7 or 79, and a Bachelor's degree or military experience are required. A Master's degree or Juris Doctor is preferred.

This role is responsible for providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations. The Senior Compliance Manager will work closely with the Commercial Broker Dealer Chief Compliance Officer to support three institutional FINRA registered broker dealers and provide compliance support to the Capital Markets line of business.

The selected candidate will be expected to:

  • Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements;
  • Capture, maintain and analyze business area compliance data and interpret to ensure a consistent and adequate compliance risk management;
  • Maintain and enhance the LOB's policies and procedures to ensure they accurately reflect actual practice and address regulatory requirements;
  • Assist in designing second-line compliance monitoring and testing;

The estimated annual salary for this role is between $172,900 - $197,300, based on location. In addition to a competitive salary, Capital One offers a comprehensive benefits package, including health, financial, and other benefits that support your total well-being.

About the Role

This is a hybrid on-site role based in New York City, with flexibility to travel to various Capital One locations as necessary. The successful candidate will be expected to perform other related work as assigned by a Commercial Bank Compliance Officer or the Chief Compliance Officer.