Broker-Dealer Compliance Risk Lead
Listed on 2026-10-07
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Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Capital One seeks a Compliance Risk Manager to support the CBDs compliance program. You will work across mergers, underwriting, trading, and research to identify and mitigate risks, partnering with Ethics and Licensing teams.
Strong communication and judgment are essential. Responsibilities include conflicts reviews, OBAs, gifts reviews, marketing material approvals, inspections, principal maintenance, and broad compliance support.
Join us at Capital One as our next Broker-Dealer Compliance Risk Lead in Richmond, VA, United States.
Consider building your career as a Broker-Dealer Compliance Risk Lead at Capital One.
The Broker-Dealer Compliance Risk Lead position in the Legal, Consulting field is open for applications.
We have an opening for a Broker-Dealer Compliance Risk Lead in Richmond, VA, United States within Legal, Consulting.
This role, Broker-Dealer Compliance Risk Lead at Capital One, could be your next career step.
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