Capital One · 2 months ago
Associate Broker Dealer Risk Specialist
Richmond, VA
Full-time
Onsite
Mid Level
$73K/yr - $83K/yr
3+ years expCapital One is a financial services company that is seeking an Associate Broker Dealer Risk Specialist. The role involves supporting the FINRA registration and licensing process for associates and Commercial Broker Dealers, while also identifying and mitigating potential risks using compliance surveillance tools.
BankingCredit CardsFinanceFinancial Services
No H1B
Responsibilities
Facilitate onboarding processes for registered and non-registered fingerprinted associates
Utilize FINRA’s Gateway / CRD System to:
Process FINRA Form U4s, U4 Amendments, and Form U5s
Process State licensure requirements
Process Form BRs for OSJ and Branch Office locations and Form BD
Electronic recordkeeping and maintenance in accordance with FINRA regulatory requirements
Day-to-day monitoring of team mailbox with the ability to communicate outside of function and tailor messages to audience as appropriate
Qualification
Required
High School Diploma, GED or equivalent certification
At least 3 years of compliance or operational experience
Preferred
4+ years of experience within a broker dealer registration and licensing function or similar compliance experience
3+ years of experience supporting, partnering, and interacting with internal business clients
Strong analytical writing and communication skills
Proficiency in Microsoft 365, Google Workspace and aptitude to learn various compliance systems
Excel when working both independently and as part of a team
Be flexible and capable with the scope of work (small, medium, large efforts)
Excellent organizational and time management skills
Ability to handle and deliver multiple priorities
FINRA Series 99 or Series 7 license
Benefits
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
Company
Capital One
Capital One is a financial services company that provides banking, credit card, auto loan, savings, and commercial banking services.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$5.45BKey Investors
Berkshire Hathaway
2025-09-11Post Ipo Debt· $2.75B
2025-01-30Post Ipo Debt· $1.75B
2023-05-15Post Ipo Equity· $954M
Leadership Team
Lo Li
CTO, Managing Vice President Retail Bank
Daniel Arellano
Senior Vice President, Business Cards and Payments
Recent News
2026-01-11
2026-01-11
Business Standard India
2026-01-11
Company data provided by crunchbase