Broker-Dealer Compliance & Licensing Associate

A leading financial institution is seeking an Associate Broker Dealer Risk Specialist based in Richmond, VA. The role involves facilitating onboarding processes for registered associates, processing various compliance forms, and maintaining electronic records in line with regulatory requirements. Candidates should have at least 3 years of experience in compliance and possess excellent communication skills. The position offers a salary range from $72,800 to $83,100, alongside performance-based compensation and comprehensive benefits.
The following opportunity is for a Broker-Dealer Compliance & Licensing Associate with Capital One. This opportunity is part of our work in Finance. The advertised compensation is 72.800 - 83.100. We aim to respond to suitable candidates as soon as possible. Full responsibilities and requirements are described in the listing above. Learn more about the Broker-Dealer Compliance & Licensing Associate role in the description above.