About this opportunity
Capital One Group lists this Broker-Dealer Compliance Risk Lead opportunity in new york, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
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
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.