Associate Broker Dealer Risk Specialist
Capital(2 months ago)
About this role
The Associate Broker Dealer Risk Specialist supports Capital One’s Commercial Broker Dealers by focusing on risk management and regulatory compliance. The role centers on supporting FINRA registration and licensing processes for associates and broker-dealer entities, with exposure across multiple lines of business and opportunities to implement compliance solutions. The position is embedded within Capital One’s risk/compliance organization and works closely with internal business partners.
Required Skills
- Compliance
- Licensing
- Registration
- Recordkeeping
- Communication
- Microsoft 365
- Google Workspace
- Excel
- Analytical Writing
- Time Management
Qualifications
- High School Diploma
- GED
- FINRA Series 99
- FINRA Series 7
About Capital
capitalonecareers.comYou’re tenacious and driven, so the last place you want to work is some boring bank. Same. Learn about careers at Capital One and view jobs here.
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