Capital One
Broker Dealer Advisory Manager
$138K–$189K
New York, NY +2 · Manager · Full-time · Posted Sep 22, 2026
- Location
- New York, NY
McLean, VA
Richmond, VA - Experience
- At least 4 years of compliance experience; preferred experience includes 3+ years in specified compliance areas and 3+ years working with internal business clients.
- Education
- Bachelor’s degree
- Visa sponsorship
- Capital One will not sponsor a new applicant for employment authorization for this position.
About the job
Supports Capital One’s broker-dealer compliance program by reviewing business activities, advising on compliance risks, and maintaining supervisory and regulatory processes.
What you'll do
- Review conflicts, outside business activities, private securities transactions, gifts and entertainment, marketing materials, and public appearances.
- Conduct scheduled compliance inspections of offices and branches; track supervisory designations and approve Form U4 and U5 filings.
- Provide compliance advisory support, including updates to supervisory procedures, risk assessments, and issues management.
What they ask for
- Bachelor’s degree.
- At least 4 years of compliance experience.
- Valid FINRA Series 7 and Series 24 licenses.
Nice to have
- 3+ years managing conflicts of interest, gifts and entertainment, marketing material reviews, and/or broker-dealer branch inspections.
- 3+ years supporting and partnering with internal business clients.
Pay
$151,900 - $173,400 USD base salary; $165,700 - $189,200 USD base salary; $138,100 - $157,700 USD base salary
Tools
Microsoft 365, Google Workspace, FINRA rules and regulations, Form U4, Form U5
Model-written summary · the original posting is authoritative