Capital One

The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. The broker-dealers include Capital One Securities, Inc., KippsDeSanto & Co., and TripleTree, LLC (collectively "Commercial Broker Dealers" or "CBDs").. The BD CCO will interact with and advise senior management of the CBD LOBs and ensure effective methods of managing compliance risk arising from federal and state laws and regulations (e.g., FINRA, NASDAQ and SEC), within an enterprise-level risk management framework.. Providing 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 continuing education, electronic communications surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales. FINRA (Financial Industry Regulatory Authority) licensed with valid Series 7 and Series 24 or Series 14. Currently working as a Broker Dealer or Investment Advisor CCO or deputy CCO

chief compliance officer

NYC 299 Park Avenue (22957), United States of America, New York, New YorkCommercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. The broker-dealers include Capital One Securities, Inc., KippsDeSanto & Co., and TripleTree, LLC (collectively "Commercial Broker Dealers" or "CBDs"). The BD CCO will lead a BD Compliance team of associates (compliance advisory and registrations and licensing professionals). The BD CCO will interact with and advise senior management of the CBD LOBs and ensure effective methods of managing compliance risk arising from federal and state laws and regulations (e.g., FINRA, NASDAQ and SEC), within an enterprise-level risk management framework. The BD CCO will gain and maintain in-depth understanding of the CBD products, services and functions to ensure maintenance of comprehensive written compliance policies and written supervisory procedures.
The BD CCO maintains all organizational and professional ethical standards and has latitude for independent judgment and decision-making. Additional responsibilities will include:
Promoting a culture of compliance and managed risk taking Providing 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 continuing education, electronic communications surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales Acting as the primary point of contact for FINRA, SEC, and state securities regulators and related exams Managing CBD Written Supervisory Procedures to ensure they accurately reflect actual practice and address regulatory requirements and standards of conduct Advising and supporting Principals on their business decisions, supervision of persons or functions, and compliance with applicable rules Providing effective challenge and guidance on compliance risks and supporting senior management through various interactions including, but not limited to formal committee meetings and enterprise change management processes (e.g., new products and services) Conducting regulatory mandated exams of the offices and functions of the CBDs Administering the customer complaint process Enforcing information barriers including chaperoning "over the wall" conversations Overseeing securities licensing and registrations including Firm requirements. Overseeing the review and approval of marketing materials and administering annual compliance attestations Advising on disposition of outside business activities/private securities transactions in coordination with the enterprise Ethics & Investigation team Advising on the design of second line compliance monitoring and testing Maintaining CDBs books and records Administering and tracking of Regulatory and Firm Element training requirements Preparing the Supervision and Controls Report & Certification per FINRA Rules 3120/3130 Flexibility to travel to various Capital One locations as necessary Basic Qualifications
Bachelor's Degree or military experience At least 10 years of experience working in broker-dealer or investment advisor compliance OR at least 8 years of experience working for a regulator overseeing broker dealers or investment advisers FINRA (Financial Industry Regulatory Authority) licensed with valid Series 7 and Series 24 or Series 14 At least 5 years of people management experience Preferred Qualifications
Master's Degree or Juris Doctor Currently working as a Broker Dealer or Investment Advisor CCO or deputy CCO 11+ years of experience working in broker-dealer or investment advisor compliance OR 9+ years of experience working for a regulator overseeing broker dealers or investment advisers Series 63 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): $236,800 - $270,300 for Sr. Director, Compliance 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 . 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 . 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
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). #J-18808-Ljbffr

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