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B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services.
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Must have 2 years of experience working with a formal business modeling and analytics practice within an investment banking, commercial banking, accounting, or consulting firm.
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Experience working with digital product, research, strategy, or design teams Familiarity with working in design innovation environments Familiarity with technology trends and startup ecosystem Experience working within a large Enterprise environment and collaborating with a cross-functional team Masters in Business Administration or comparable training is a plus At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
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Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor (CFSA) designation a plus. The Manager of Commercial Banking Compliance is responsible for advising, overseeing, and challenging commercial banking focused front line business units on matters of regulatory compliance within the second line independent risk management function.
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This role is responsible for monitoring business area compliance with applicable commercial banking laws and regulations; and ensuring controls are in place to mitigate regulatory compliance risk.
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We start with a basic premise: Business is personal. For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). The Manager of Commercial Banking Compliance will research regulatory issues, monitor compliance with regulations, oversee and aggregate front line regulatory risk assessments, make recommendations based on industry best practices, and supervise staff.
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The employer will alternatively accept a Master’s degree in any field of study plus 5 years of experience in the job offered or as Investment Banking Analyst/Associate, or related occupation.
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The employer will alternatively accept a Bachelor's degree in Finance, Economics, or related field of study plus 3 years of experience in the job offered or as a Global Investment Strategists, Fixed Income eCommerce Analyst, eCommerce - Corporate & Investment Bank, Market Risk Analyst, or related occupation.
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Business Analyst experience/Attention to detail is a plus 3+ years of experience in a Sales type customer success or customer-facing role. Understands financial markets (e.g. M&A, large Corporates, Liens and Loans, Banking, Capital Markets, Alternative Investments) Experience working with cross-functional technical teams including Customer Service, Product Management, Development, Sales, Pre-sales, legal, and marketing.
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Experience with Alteryx, or other data tools is a plus. Demonstrate cross-line of business knowledge of banking systems and products. Customer contact and service operations experience is a plus.
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These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more.
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3-5 years in the financial services industry at a broker/dealer or regulatory agency (i.e. FINRA, SEC, CFTC), ideally with an emphasis on surveillance with exposure to business, IT, operations, support, and control functions.
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Prior experience in investment banking, finance, public accounting, or strategy/management consulting a plus. Undergraduate degree in finance and/or accounting required Advanced business degree a plus, C.P.A. a plus.
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Finance, Banking, Teller, Mortgage Banker, Business Banker, Retail Sales, Server, Serving, Bartending, Bartender. A competitive base salary, plus commission. Sales, Prospecting, Business Development, Lead Generation, Inside Sales, Outside Sales, Field Sales, Account Representative, Account Manager, Account Executive, Sales Development Rep.
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