Senior Investing Compliance Associate - Surveillance & Oversight

  • Company: Capital One
  • Location: Wilmington, Delaware
  • Posted: November 05, 2016
  • Reference ID: R13887
Oliver Evans (18222), United States of America, Wilmington, Delaware

Senior Investing Compliance Associate - Surveillance & Oversight

Title:  Senior Investing Compliance Associate - Surveillance & Oversight

Level:  Sr. Associate

Job Description:

The Senior Compliance Advisory Associate 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 II is responsible for delivering quality results, providing compliance advice to the business, and executing or participating in corporate processes. This Senior 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.

With limited managerial supervision, the Senior Compliance Advisor will support the business by:

-Maintaining the Firm’s Compliance Management System;
-Providing input on business regulatory requirements;
-Providing guidance on business policies, standards, and procedures;
-Participating in department training, as appropriate;
-Providing compliance advice on projects, as directed;
-Providing guidance on controls over regulatory requirements and line of business monitoring of those controls, as directed;
-Performing targeted tests on lines of business controls and provide guidance on identified risks, as directed


-Participate in internal compliance functions, including but not limited to: Email Surveillance, Outside Business Activity Disclosure Monitoring, Personal Brokerage Account Monitoring, and other functions as appropriate
-Under managerial supervision, provide effective challenge and guidance on compliance risks and support the business through various interactions and forum engagements
-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
-Advise on the development and maintenance of the Compliance Program, such as how to monitor, report, and train
-Support the business by providing advice, influence adjustments to the processes, procedures, and controls
-Conduct targeted validations on controls over applicable regulations
-Involvement with compliance testing and third party compliance, as directed
-Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
-Actively participate on projects through providing guidance, advise, and effective challenge
-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, as directed
-Flexibility to travel to various Capital One locations as necessary

The ideal candidate will have:

- Working knowledge of FINRA/NASD rules and regulations, and the Securities Act of 1933 and the Exchange Act of 1934.  -Strong communication skills

-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 certification, or Military experience
-At least 1 year working in a compliance role for a broker-dealer, or at least 1 year of compliance experience working for an investment adviser, or at least 1 year of compliance experience working for a securities regulator (FINRA/SEC)

-Proficiency in Microsoft Office

Preferred Qualifications:
-Bachelor’s Degree
-3 years of supervision, or 3 years of compliance, or 3 years of surveillance experience in the securities industry

-FINRA Series 7, or Series 24, or Series 63/65 licenses

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

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