Associate Broker Dealer Risk Specialist
Job in
Richmond, Henrico County, Virginia, 23214, USA
Listed on 2026-01-25
Listing for:
Capital One
Full Time, Part Time
position Listed on 2026-01-25
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Banking Operations, Financial Services
Job Description & How to Apply Below
* **** 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****
* **** High School Diploma, GED or equivalent certification****
* **** At least 2 years of experience within a broker dealer registration and licensing function****
* **** 3+ years of experience supporting, partnering, and interacting with internal business clients****
* **** 3+ years of broker dealer compliance experience.****
* **** Bachelor’s degree or military experience****
* **** 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
**** Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
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Position Requirements
10+ Years
work experience
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