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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.
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The Compliance Advisor Senior Manager works within the Compliance Management Program framework and is responsible for delivering on specific tasks and repeatable processes.
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Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer.
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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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Center 3 (19075), United States of America, McLean, VirginiaSenior Manager, Enterprise Services Business Risk (ES Risk)Risk Managers at Capital One are highly motivated risk and process management professionals with excellent analytical, organizational, risk management, project management, and communication skills.
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In this position, you will play a key role in enhancing our third party risk management processes across Capital One and driving project and program delivery. A successful candidate for this role will be able to operate from a foundation of knowledge about third party management,and make sound decisions within the risk management framework.
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Ensure effective governance by identifying, framing, and presenting risk topics to be discussed by senior management in enterprise risk forums. At least 5 years of experience in Third Party Risk Management.
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Capture, maintain and analyze Business Area compliance data and interpret to ensure a consistent and adequate Compliance Risk Management. Commercial Broker Dealer Compliance Advisor - Senior Manager.
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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.
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As a Senior Risk Manager in the Enterprise Services Risk Office, we are the first line of defense to help ensure our Company remains well-managed and avoid unnecessary risk.
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Apply locations McLean, VA Chicago, IL Richmond, VA Houston, TX Plano, TX time type Full time posted on Posted 3 Days Ago job requisition id R186793 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.
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Senior Risk Managers at Capital One are highly motivated Risk Management professionals with excellent organizational and communication skills. Design a risk management framework enabling line of sight and governance to both processes and platforms.
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