Broker Dealer Advisory Manager

Capital One

. Support Capital One’s broker dealers compliance program .

Posted 9/22/2026full-timeUnited StatesMid-LevelSenior💰 $138,100 - $189,200 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance program support for broker dealers, including risk management, regulatory adherence, and conflict of interest management. Proficient in reviewing marketing materials, outside business activities, and conducting compliance reviews in accordance with FINRA regulations.

Highest-signal resume keywords

FINRA LicensedSeries 7 CertificationSeries 24 CertificationCompliance ExperienceAnalytical Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Program SupportRisk ManagementRegulatory AdherenceConflict of Interest ManagementCompliance ReviewsMergers and AcquisitionsInvestment BankingUnderwritingEquity SalesAsset-Backed Securities

Soft Skills

Strong Communication SkillsExcellent Organizational SkillsTime Management SkillsAbility to Work IndependentlyTeam Collaboration

Tools & Technologies

Microsoft 365Google WorkspaceCompliance Systems

Certifications & Qualifications

FINRA LicensedSeries 7Series 24

Industry Keywords

Broker Dealer ComplianceFINRA RulesGifts and EntertainmentMarketing Material ReviewsBranch InspectionsOffice of Supervisory Jurisdictions

About the role

Key responsibilities & impact

Support Capital One’s broker dealers compliance program
Provide risk management coverage across broker dealer activities, including mergers and acquisitions, investment banking, underwriting, equity sales, trading and research, and secondary trading of asset-backed securities
Work with the enterprise Ethics Office to review potential investment banking and mergers and acquisition deals for conflicts of interest
Review and approve outside business activities and private securities transactions in accordance with FINRA rules and regulations
Review and approve gifts and entertainment for broker dealer associates
Review and approve marketing materials and public appearances by broker dealer associated persons
Conduct compliance reviews of Office of Supervisory Jurisdictions and branch offices according to the appropriate regulatory schedule
Track changes to supervisory designations, office locations, and principal lists, and approve Form U4 and U5 filings
Provide compliance advisory services across the broker dealers, including updating written supervisory procedures, risk assessments, issues management, and other compliance program elements

Requirements

What you’ll need

Bachelor’s degree
At least 4 years of compliance experience
FINRA licensed with valid Series 7 and Series 24
3+ years of experience managing conflicts of interest, gifts and entertainment, marketing material reviews and/or broker dealer branch inspections
3+ years of experience supporting, partnering, and interacting with internal business clients
Strong analytical and communication skills
Proficiency in Microsoft 365 and Google Workspace, with aptitude to learn various compliance systems
Ability to excel when working independently and as part of a team
Flexibility and capability with small, medium, and large efforts
Excellent organizational and time management skills
Ability to handle and deliver multiple priorities
At this time, Capital One will not sponsor a new applicant for employment authorization for this position

Benefits

Comp & perks

Performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives (LTI)
Comprehensive, competitive, and inclusive health, financial, and other benefits supporting total well-being
Reasonable accommodations for applicants who require them