Investing Compliance Associate - Surveillance & Oversight

  • Company: Capital One
  • Location: Wilmington, Delaware
  • Posted: November 05, 2016
  • Reference ID: R13886
Oliver Evans (18222), United States of America, Wilmington, Delaware

Investing Compliance Associate - Surveillance & Oversight

Title:  Investing Compliance Associate - Surveillance & Oversight

Level:  Associate

Job Description:

The Associate Compliance Advisor performs a key risk management role (second line of defense); to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. While working within the Compliance Management Program framework, the Compliance Advisor I is responsible for delivering quality results, assisting others in providing compliance advice to lines of business, and executing or participating in corporate processes.  This Associate supports the Capital One Investing line of business which is comprised of three legal entities: a broker/dealer, an RIA and an Insurance Company.

The Associate Compliance Advisor will support lines of business by:
-Assisting in the maintenance of the Firm’s Compliance Management System -Providing supervised input on business regulatory requirements;
-Supporting senior advisors in providing guidance on business policies, standards, and procedures;
-Providing support on compliance projects;
-Supporting senior advisors in providing guidance on controls over regulatory requirements and line of business monitoring of those controls;
-Participating in targeted tests on lines of business controls, as directed

-Support senior advisors in effective challenge and preparation for various forum interactions
-Work with senior advisors to assist lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train

-Assist in monitoring the Compliance mailbox to answer and/or route compliance related inquiries to appropriate area as appropriate

-Assist on conducting annual branch office inspections
-Participate in targeted validations on controls over applicable regulations
-Involvement with compliance testing and third party compliance
-Assist in capturing, maintaining, and analyzing compliance data
-Participate on projects through providing support to more senior advisors
Assist in responding to regulatory inquiries and internal audits as needed

-Escalate compliance issues to Compliance Manager or appropriate Business Supervisor

-Participate in reporting activities in a support role
-Flexibility to travel to various Capital One locations if necessary

The ideal candidate will have:

Strong communication skills

-Strong problem solving and analytical skills

-Ability to work effectively on multiple tasks in a dynamic and fast-paced environment

-Ability to be an active participant of a highly motivated team

Basic Qualifications:
-High school diploma, GED or equivalent experience, or Military experience

-At least 1 year of compliance experience for a broker-dealer, or at least 1 year of compliance experience for an investment adviser, or at least 1 year of experience for a securities regulator (FINRA/SEC)
-Proficiency in Microsoft Office

Preferred Qualifications:
-Bachelor’s Degree

-2 years of supervision, or 2 years of compliance, or 2 years of surveillance experience in the securities industry

-FINRA Series 7 and 63/65 licenses

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.   

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