Broker-Dealer Risk & Licensing Specialist

* ** High School Diploma, GED or equivalent certification**
* ** At least 3 years of compliance or operational experience**
* ** 4+ years of experience within a broker dealer registration and licensing function or similar compliance experience**
* ** 3+ years of experience supporting, partnering, and interacting with internal business clients**
* ** 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
** 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 . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
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