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Principal Investing Compliance Advisor - Compliance Management Program

Capital One

McLean, VA
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Job Details

Company Capital One

Job Title: Principal Investing Compliance Advisor - Compliance Management Program

JobID: capitalone2-R13885

Location: McLean, VA, 22106, USA

Description: 1750 Tysons (12023), United States of America, McLean, Virginia

Principal Investing Compliance Advisor - Compliance Management Program

**Title: Principal Investing Compliance Advisor – Compliance Management Program**

**Level:** Principal Associate

**Job Description:**

The Principal Compliance Advisor, performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. While working within the Compliance Management Program framework, the Principal Compliance Advisor is responsible for delivering quality results, providing compliance advice to lines of business, and executing or participating in corporate processes. This Principal Associate supports the Capital One Investing line of business which is comprised of three legal entities: a broker/dealer, an RIA and an Insurance Company.

**_The Principal Compliance Advisor will support lines of business by:_**

-Providing input on business regulatory requirements;

-Providing guidance on business policies, standards, and procedures;

-Leading and reviewing department training, as appropriate;

-Providing compliance advice on projects;

-Providing guidance on controls over regulatory requirements and line of business monitoring of those controls;

-Performing targeted tests on lines of business controls and provide guidance on identified risks


-Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements

- Identify trends in data and advise on identified emerging risks

-Advise lines of business on application of Compliance requirements, such as: new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and change in law or regulation

-Advise lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train

-Develop strong understanding of applicable laws and regulations

-Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts

-Support lines of business through advice, influence adjustments to the processes, procedures, and controls

-Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary

-Conduct targeted validations on controls over applicable regulations

-Perform and review control assessments executed by peers for accuracy and adherence to test procedures

-Involvement with compliance testing and third party compliance

-Maintain strong understanding of Compliance Risk Management Framework and applicable laws and regulations

-Identify trends in data for potential risk impacts

-Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management

-Actively participate on complex projects through providing guidance, advise, and effective challenge

-Participate in reporting activities, such as: NULAW, NPMIG, and other reports used by Senior Leadership as directed

-Supporting Compliance teams as a subject matter expert

-Other compliance duties as assigned

-Flexibility to travel to various Capital One locations as necessary (approximately 10% travel)

**The ideal candidate will have:**

-Working knowledge of FINRA/NASD rules and regulations, and the Securities Act of 1933 and the Exchange Act of 1934.

-Strong communication skills

-Strong problem solving and analytical skills

-Ability to work effectively on multiple tasks in a dynamic and fast-paced environment

-Ability to be an active participant of a highly motivated team

**Basic Qualifications:**

-High School Diploma, GED or equivalent certification, or Military experience

-At least 3 years of experience working in a compliance role for a broker-dealer, or at least 3 years’ compliance experience working for an investment adviser, or at least 3 years of compliance experience working for a securities regulator (FINRA/SEC)

-Proficiency in Microsoft Office

**Preferred Qualifications:**

-Bachelor’s Degree

-5 years of supervision, or 5 years of compliance, or 5 years of surveillance experience in the securities industry

-FINRA Series 7, or Series 24, or Series 63/65 licenses

**At this time, Capital One will not sponsor a new applicant for employment authorization for this position.**

At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.                                               

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