Senior Compliance Specialist
WiskSalary not specified
Not SpecifiedCompensation
Junior (1 to 2 years), Mid-level (3 to 4 years)Experience Level
Full TimeJob Type
UnknownVisa
Financial Services, Broker-DealerIndustries
Requirements
- Basic Qualifications:
- High School Diploma, GED or equivalent certification
- At least 3 years of compliance or operational experience
- Preferred Qualifications:
- 4+ years of experience within a broker dealer registration and licensing function or similar compliance experience
- 3+ years of experience supporting, partnering, and interacting with internal business clients
- 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
Responsibilities
- Facilitate onboarding processes for registered and non-registered fingerprinted associates
- 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
Skills
FINRA CRD
FINRA Gateway
Form U4
Form U5
Form BR
Form BD
Microsoft Excel
Microsoft 365
Google Workspace
Broker Dealer Licensing
State Licensure
Regulatory Compliance
Capital One
Offers diverse financial products and services
About Capital One
Capital One provides a variety of financial services aimed at making banking accessible and easy for everyone. The company offers products such as credit cards, savings accounts, car loans, and business checking accounts, catering to both individual consumers and small businesses primarily in the United States. Capital One's approach includes user-friendly banking solutions with no fees or minimums for checking accounts, allowing customers to manage their finances more effectively. They generate revenue through interest on loans, credit card fees, and investment banking services. What sets Capital One apart from its competitors is its strong commitment to financial inclusion and literacy, demonstrated through community partnerships and educational initiatives, such as collaborations with Khan Academy. The company's goal is to create a more inclusive financial system and empower customers with the knowledge and tools they need to make informed financial decisions.
McLean, VirginiaHeadquarters
2014Year Founded
$15.9MTotal Funding
IPOCompany Stage
Fintech, Financial ServicesIndustries
10,001+Employees
Benefits
Medical, Dental, & Vision coverage
Onsite Health Centers
Prescription saving with network of local pharmacies
Stock Purchase Plan
Education Assistance
401(k)
Flexible Spending Accounts
Life and Disability insurance
Generous paid time off + corporate & floating holidays
Registered dieticians on site, cooking classes and free virtual fitness classes
Employee Assistance Program
Risks
Increased competition in subscription management tools may dilute Capital One's advantage.
Over-reliance on partnerships could expose Capital One to technological risks.
Departure of key personnel like Joe Rodriguez may affect risk management continuity.
Differentiation
Capital One offers user-friendly banking with no fees or minimums for checking accounts.
The company partners with Khan Academy to provide financial literacy education.
Capital One is the first major U.S. bank to offer subscription management tools.
Upsides
Capital One's mobile app is a model for secure, user-friendly digital banking.
Data sharing with Worldpay enhances payment security and fraud prevention.
Partnerships with fintechs like Minna Technologies improve customer experience.
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