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Regulatory Compliance Specialist Financial Services

Broker-Dealer Compliance Risk Lead

Job in McLean, Fairfax County, Virginia, USA
Listing for: Capital One
Full Time position
Listed on 2026-05-25
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services
Salary/Wage Range or Industry Benchmark: 151900 - 173400 USD Yearly USD 151900.00 173400.00 YEAR
Job Description & How to Apply Below
A financial services company is looking for a Broker Dealer Advisory Manager to lead the compliance program across its broker dealers. The ideal candidate should have at least 4 years of compliance experience, be FINRA licensed with Series 7 and 24, and have strong communication and analytical skills. This position is based in McLean, Virginia, offering competitive salary ranges from $151,900 to $173,400 annually.

The role also encompasses compliance advisory services and performance-based incentives.
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