This job is closed
Applications are no longer available for this announcement. Explore current related opportunities below.
Job description
Capital One in New York, NY is seeking a Broker Dealer Advisory Manager to support the CBDs compliance program. The role involves evaluating conflicts, reviewing outside activities and private securities transactions, and ensuring compliant marketing materials and appearances.
The person will also conduct office inspections, maintain designated principals, and provide advisory support across risk assessments and procedures in a fast-paced financial setting.
#J-18808-Ljbffr
Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.