Capital One
Change everything. Starting with your career.
Houston, TX, USA

Commercial Broker Dealer Compliance Advisor - Senior Manager

By clicking Apply Now you agree to share your profile information with the hiring company.
Employer Provided Salary: 172,900-197,300 Annually
Salary data is provided by the employer. Please note this is not a guarantee of compensation.

Center 2 (19050), United States of America, McLean, Virginia
Commercial Broker Dealer Compliance Advisor - Senior Manager
The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and provide compliance support the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary. The broker dealers being supported include Capital One Securities, Inc., KippsDeSanto & Co., TripleTree, LLC. (collectively "Commercial Broker Dealers" or "CBDs"). The Compliance Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to manage a team of associates (registrations and licensing professionals and a compliance advisor) who interact with and advises the CBD LOBs on the need for and effective methods of managing compliance risk arising from federal and state laws and regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC). The Compliance Advisor Senior Manager works within the Compliance Management Program framework and is responsible for delivering on specific tasks and repeatable processes.
The Compliance Advisor Manager maintains all organizational and professional ethical standards and has latitude for independent judgment and decision-making. Additional responsibilities will include:

  • Manage a team of two registrations professionals and one compliance advisor
  • Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element CE, email surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales
  • Experience with fixed income (asset backed securities including commercial mortgage backed securities) and equity trading.
  • Familiarity with securities licensing and registration protocols.
  • Provide CBD LOBs support/advice on the application of Compliance Requirements (Corrective Action, New Product or Process Development, Change in Law or Regulatory Environment)
  • Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements
  • Capture, maintain and analyze Business Area compliance data and interpret to ensure a consistent and adequate Compliance Risk Management
  • Maintain and enhance the LOB's policies and procedures to ensure they accurately reflect actual practice and address regulatory requirements
  • Assist in designing second line compliance monitoring and testing
  • Advise CBD business leaders on their obligations under the Capital One's Compliance Management Policy
  • Assist in guiding CBD LOBs on the development and maintenance of processes to deliver on their responsibilities and accountabilities within the Compliance Management Program
  • Produce results within a team and support more senior and junior advisors
  • Actively participate on complex projects through providing guidance, advise, and effective challenge
  • Assist in the maintenance of the firm's books and records
  • Assist in the promotion of a culture of compliance and managed risk taking
  • Flexibility to travel to various Capital One locations as necessary
  • Performs other related work as assigned by a Commercial Bank Compliance Officer or the Chief Compliance Officer

Basic Qualifications

  • Bachelor's Degree or military experience
  • At least 7 years of experience working in compliance, legal, audit, operations, or finance within financial services OR at least 7 years of experience with a regulator overseeing broker dealers or investment advisers
  • FINRA licensed with valid Series 7 or 79

Preferred Qualifications

  • Master's Degree or Juris Doctor
  • 8+ years of experience working in compliance, legal, audit, operations, or finance within financial services OR 8+ years of experience with a regulator overseeing broker dealers or investment advisers
  • 4+ years of people management experience
  • Series 24 or 9/10

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
New York City (Hybrid On-Site): $172,900 - $197,300 for Compliance Advisor Sr. Manager
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.
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 Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. 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, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; 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.
If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at [email protected] . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please send an email to [email protected]
Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.
Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).

See More
Apply Now
By clicking Apply Now you agree to share your profile information with the hiring company.

What are Capital One Perks + Benefits

Capital One Benefits Overview

At Capital One, we're committed to ensuring you and your family feel supported and cared for, and we know that your benefits play a large role in that support. Our goal is to provide a comprehensive and competitive set of benefits that offer the flexibility and choice to meet the diverse needs of all associates. We want each of you to Be Well physically, emotionally, and financially.

Volunteer in local community
Volunteer projects are encouraged and supported by Capital One through both traditional monetary contributions and flexibility to participate in associate-led initiatives.
Partners with nonprofits
Capital One’s philanthropy program provides grants to organizations that support education, financial literacy and community development, including affordable housing and small business development.
Open door policy
OKR operational model
Team based strategic planning
Pair programming
Open office floor plan
Flexible work schedule
Remote work program
Documented equal pay policy
Dedicated diversity and inclusion staff
Mandated unconscious bias training
Diversity manifesto
Mean gender pay gap below 10%
Diversity employee resource groups
Business Resource Groups (BRGs) play an important role in attracting world-class talent, developing tomorrow’s leaders, engaging and retaining our diverse workforce and enhancing our workplace.
Hiring practices that promote diversity
Our professional recruiting teams focus on attracting underrepresented talent for our key business roles, including analyst, product, and tech roles across varied tactics and connection points.
Health Insurance + Wellness
Flexible Spending Account (FSA)
Capital One offers two flexible spending accounts (FSAs) – a Health Care FSA and Dependent Care FSA – administered by Anthem.
Disability insurance
Capital One automatically provides full-time associates with Short-Term Disability and Basic Long-Term Disability coverage at no cost. You have the option to purchase Supplemental Long-Term Disability
Dental insurance
Capital One offers coverage through Delta Dental to help you maintain your smile through regular preventive care and treatment for any dental problems that may arise.
Vision insurance
To help you keep life in focus, vision coverage through Anthem Blue View Vision provides benefits for eye exams and vision correction treatment.
Health insurance
Our medical plans provide comprehensive and affordable coverage for a range of health care services and are designed with the ability to be flexible and choose which benefits work for your needs.
Life insurance
We provide full-time and eligible part-time associates with Basic Life, and Accidental Death and Personal Loss (AD&PL) Insurance at no cost.
Wellness programs
Mental health benefits
Capital One's Employee Assistance Program provides a robust set of services including telephonic, virtual and/or face-to-face counseling, legal and financial assistance, ID theft recovery, and more.
Financial & Retirement
Through automatic payroll deductions, you may contribute up to 50% of your Annual Benefits Salary (base salary, shift differential, bonuses, commission, incentives and overtime) to your account.
401(K) matching
Capital One will match 100% of the first 3% of Annual Benefits Salary that you contribute, plus 50% of the next 3% of Annual Benefits Salary that you contribute.
Employee stock purchase plan
You can elect to contribute between 1% and 15% of your base salary** to the ASPP and receive a partial match on your contributions from Capital One. **Includes standard pay and any commissions
Charitable contribution matching
Child Care & Parental Leave
Childcare benefits
The Bright Horizons Care Advantage Program provides alternative child and adult care options during a lapse or breakdown in normal care arrangements.
Generous parental leave
Flexible parental leave options are available to full-time associates at the time of their child’s birth or arrival in their home.
Family medical leave
Adoption Assistance
The Adoption Reimbursement program provides financial support to full-time associates who are building their families through adoption.
Vacation + Time Off
Generous PTO
Paid holidays
Paid sick days
Office Perks
Commuter benefits
Company-sponsored outings
Some meals provided
Company-sponsored happy hours
Onsite office parking
Recreational clubs
Relocation assistance
Fitness stipend
Home-office stipend for remote employees
Onsite gym
Professional Development
Job training & conferences
Tuition reimbursement
Lunch and learns
Promote from within
Mentorship program
Continuing education stipend
Continuing education available during work hours
Online course subscriptions available
Customized development tracks
Paid industry certifications

Additional Perks + Benefits

Capital One’s perks and benefits are progressive and industry leading. We have always believed in the importance of providing comprehensive and expansive benefits to complement and contribute to our associates’ total compensation package. For example, we were one of the first major companies to offer same-sex marriage benefits back in 1997 and we have since continued to build our benefits portfolio to include a host of other LGBTQ+ friendly offerings, from fertility coverage to reimbursements for associates who chose to build their families through adoption and surrogacy, to domestic partner benefits and health coverage for gender reassignment. In addition, Capital One’s campuses offer fitness facilities, cafés and, at certain locations, onsite health services for associates and their families. Our benefits package is unique as it provides flexibility for you to determine your path to health, wealth and life support.

More Jobs at Capital One

Apply Now
By clicking Apply Now you agree to share your profile information with the hiring company.
Learn more about Capital OneFind similar jobs like this