Capital One is seeking a Compliance Risk Manager to support the CBDs compliance program, providing risk management across mergers, acquisitions, investment banking, underwriting, equity sales, trading and research. You will review conflicts, OBAs, gifts and entertainment, and marketing materials, while conducting office inspections and maintaining principal designations.
The role requires collaboration with the Ethics Office, strong communication, analytical skills and FINRA-licensed
#J-18808-LjbffrBroker-Dealer Compliance Risk Lead in northern at Unknown Company
This position is listed as full time and onsite.