Associate Broker Dealer Risk Specialist

Join to apply for the Associate Broker Dealer Risk Specialist role at Capital One
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• Facilitate onboarding processes for registered and non-registered fingerprinted associates.
• Utilize FINRA’s Gateway / CRD System to process FINRA Form U4s, U4 Amendments, and Form U5s.
• Process State Licensure Requirements and Form BRs for OSJ and Branch Office locations and Form BD.
• Maintain electronic records in accordance with FINRA regulatory requirements.
• Monitor team mailbox day-to-day, tailoring communications to the appropriate audience.

• 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.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

McLean, VA: $80,100 - $91,400
New York, NY: $87,400 - $99,700
Richmond, VA: $72,800 - $83,100

This role is eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI).

Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits that support your total well-being.

This role is expected to accept applications for a minimum of 5 business days.

Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including the extent applicable, Article 23-A of the New York Correction Law;
San Francisco, California Police Code Article 49, Sections ;
New York City’s Fair Chance Act;
Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

For technical support or questions about Capital One's recruiting process, please send an email to

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