Associate Broker Dealer Risk Specialist
Capital(1 month ago)
About this role
An Associate Risk Specialist supporting Capital One’s Commercial Broker Dealers works within Risk Management to help maintain regulatory compliance for broker-dealer operations. The role involves interaction across business lines and supporting the firm’s FINRA-related registration and licensing processes while ensuring accurate regulatory recordkeeping.
Required Skills
- FINRA Gateway
- Form Processing
- State Licensing
- Recordkeeping
- Communication
- Analytical Writing
- Microsoft 365
- Google Workspace
- Excel
- Organization
+2 more
Qualifications
- High School Diploma
- GED
- Bachelor's Degree
- Military Experience
- 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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