Broker-Dealer Risk & Compliance Specialist; Series
Job in
Richmond, Henrico County, Virginia, 23214, USA
Listed on 2026-01-25
Listing for:
Capital One
Full Time
position Listed on 2026-01-25
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Banking Operations
Job Description & How to Apply Below
A financial services company based in Richmond, Virginia, is looking for a Compliance Associate to facilitate various onboarding processes and manage regulatory compliance tasks. Candidates should possess at least 2 years of broker dealer registration experience and 3+ years in compliance. A High School Diploma is required, although a Bachelor's degree or military experience is preferred. The role demands excellent organizational and communication skills, which are essential for success in a fast-paced environment.
The company offers a competitive benefits package.
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