Capital One in New York, NY is seeking a Broker Dealer Advisory Manager to support the CBDs compliance program. The role involves evaluating conflicts, reviewing outside activities and private securities transactions, and ensuring compliant marketing materials and appearances.
The person will also conduct office inspections, maintain designated principals, and provide advisory support across risk assessments and procedures in a fast-paced financial setting.
#J-18808-LjbffrBroker-Dealer Compliance & Risk Leader in new york at Unknown Company
This position is listed as full time and onsite.