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Commercial Broker Dealer Compliance Advisor - Senior Manager
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Full-time
- Center 2 (19050), United States of America, McLean, VirginiaCommercial 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 serve as the Deputy Commercial Broker Dealer Compliance Officer supporting three institutional FINRA registered broker dealers and additionally providing a compliance support role for the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary.
- 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).
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