Broker-Dealer Licensing & Risk Associate
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-28
Listing for:
Capital One
Full Time
position Listed on 2026-01-28
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Banking Operations, Financial Services, Banking & Finance
Job Description & How to Apply Below
A leading financial institution is looking for an Associate Risk Specialist in New York City. This role involves facilitating the onboarding of fingerprinted associates and processing various compliance documents including FINRA Form U4s and State licenses. Candidates should have at least 2 years of experience in a broker dealer registration function, strong communication skills, and proficiency in compliance tools. The position offers competitive compensation and the opportunity to engage in significant risk management activities.
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Position Requirements
10+ Years
work experience
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