Compliance Advisor Senior Manager

NYC 299 Park Avenue (22957), United States of America, New York, New York

Compliance Advisor Senior Manager

The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support 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, as necessary. The broker dealers being supported include Capital One Securities, Inc., KippsDeSanto & Co., TripleTree, LLC. (collectively "Commercial Broker Dealers" or "CBDs"). The Compliance Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise 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, SEC). The Compliance Advisor Senior Manager works within the Compliance Management Program framework and is responsible for delivering on specific tasks and repeatable processes.

The Compliance Advisor Manager maintains all organizational and professional ethical standards and has latitude for independent judgment and decision-making.  Additional responsibilities will include:

• Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to application of those rules to Asset-Backed Securities underwriting and secondary trading, Commercial Mortgage-Backed Securities, equities, equity research, investment banking and mergers and acquisitions.

• Experience with trade surveillance of fixed income (asset backed securities including commercial mortgage backed securities) and equity trading.

• Familiarity with securities licensing and registration protocols

• Provide CBD LOBs support/advice on the application of compliance requirements (corrective action, new product or process development, change in law or regulatory environment)

• Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements

• Capture, maintain and analyze business area compliance data and interpret to ensure a consistent and adequate compliance risk management

• Maintain and enhance the LOB’s policies and procedures to ensure they accurately reflect actual practice and address regulatory requirements

• Assist in designing second line compliance monitoring and testing 

• Advise CBD business leaders on their obligations under the Capital One’s Compliance Management Policy

• Assist in guiding CBD LOBs on the development and maintenance of processes to deliver on their responsibilities and accountabilities within the Compliance Management Program

• Actively participate on complex projects through providing guidance, advise, and effective challenge

• Assist in the maintenance of the firm’s books and records

• Assist in the promotion of a culture of compliance and managed risk taking

• Flexibility to travel to various Capital One locations as necessary

• Performs other related work as assigned by a Commercial Bank Compliance Officer or the Chief Compliance Officer

Basic Qualifications

• Bachelor's degree or military experience
• At least 7 years of experience working in compliance, legal, audit, operations or finance within financial services OR at least 7 years of experience working for a regulator overseeing broker dealers or investment advisers

• FINRA licensed with valid Series 7 or 79

Preferred Qualifications

• Master’s degree or Juris Doctor
• 8+ years of experience working in compliance, legal, audit, operations or finance within financial services OR 8+ years of experience with a regulator overseeing broker dealers or investment adviser
• Series 24 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 tha