Associate Risk Specialist

Place St Charles (37701), United States of America, New Orleans, Louisiana

Associate Risk Specialist

The Associate Risk Specialists at Capital One Securities are highly motivated Risk Management professionals with excellent organizational and communication skills. They have a high level of exposure across multiple lines of business as well as the opportunity to create and implement innovative solutions to identify and mitigate potential risks to the Company using various compliance surveillance tools and methods.  The Associate Risk Specialist’s primary responsibilities will be to manage the FINRA registration and licensing  process for associates and the Commercial Broker Dealers, as well as conducting regular periodic reviews of reporting from surveillance tools to ensure the compliance alerts and cases are being addressed in a timely manner.

Key Responsibilities:

• Managing onboarding processes for registered and non-registered fingerprinted associates

• Utilize FINRA’s CRD System to:

  • Process all FINRA Form U4s, U4 Amendments, and Form U5s

  • Process all State licensure requirements

  • Process all Form BRs for OSJ and Branch Office locations and Form BD

• Responsible for the maintenance of the Firm’s books and records for coverage area, including but not limited to:

  • Organizational/Supervisory Structures

  • Associate compliance databases

• Responsible for operational tasks including regular periodic review of reports related to compliance tasks to support the timely resolution of alerts and cases.

  • Review alerts and cases for dated items and follow up with compliance team by issuing reports.  Document the results of the follow up with compliance staff. 

• Interface with compliance officers, business risk officers, and other relevant stakeholders as applicable to review, escalate, and resolve potential compliance issues.

• Enhance surveillance practices and procedures to achieve accuracy and efficiency of licensing/registration processing and compliance alert/case resolution.

Basic Qualifications:

• High School Diploma, GED or equivalent certification

• At least 3 years of operational experience

Preferred Qualifications:

• Ability to handle/manage and deliver multiple priorities for different stakeholders

• FINRA Series 7 license

• At least 3 years of experience supporting, partnering, and interacting with internal business clients

• Strong analytical writing and communication skills

• High level of proficiency with the MS Office suite and aptitude to learn various compliance systems

• Excellent organizational and time management skills

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 that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

New York City (Hybrid On-Site): $84,300 - $96,200 for Risk Specialist

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, cit