Broker Dealer Advisory Manager

Discover Financial
New York, Virginia, Richmond
Workplace: OnsiteFull timeUSD 165,700 - 189,200 annuallyFunction: Consulting & AdvisoryEducation: bachelorsSkills: ["Communication","Judgment","Decision-making","Integrity","Analytical skills","Organizational and time management"]

Support Capital One’s broker-dealers compliance program as a Compliance Risk Manager. Manage and review conflicts of interest for investment banking/M&A deals, assess outside business activities and private securities transactions under FINRA rules, and approve gifts, entertainment, marketing materials, and public appearances for associated persons. Conduct compliance reviews across office supervisory jurisdictions, maintain designated principal records and filings, and provide advisory support including updates to supervisory procedures and risk/issue management.

Loading

Loading job details...

Preparing the role view and application actions.

FursaFursa
Discover Financial
Discover Financial
12 hours ago

Broker Dealer Advisory Manager

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI
Last checked: 12 hours agoStatus: Live

Job Summary

Support Capital One’s broker-dealers compliance program as a Compliance Risk Manager. Manage and review conflicts of interest for investment banking/M&A deals, assess outside business activities and private securities transactions under FINRA rules, and approve gifts, entertainment, marketing materials, and public appearances for associated persons. Conduct compliance reviews across office supervisory jurisdictions, maintain designated principal records and filings, and provide advisory support including updates to supervisory procedures and risk/issue management.
Location: New York, Virginia, Richmond
Workplace: Onsite
Employment Type: Full time
Job Function: Consulting & Advisory

Key Responsibilities

  • •Review potential conflicts of interest for investment banking and M&A deals in coordination with the enterprise Ethics Office.
  • •Review and approve outside business activities and private securities transactions in accordance with FINRA rules and regulations.
  • •Coordinate reviews and approvals for gifts and entertainment, marketing materials, and public appearances by associated persons.
  • •Conduct compliance reviews for broker-dealer offices and branch offices according to the regulatory schedule.
  • •Maintain supervisory designations and principal lists with Registration and Licensing, and support compliance advisory work such as updating supervisory procedures and risk/issue management.

Pay and Benefits

Salary: USD 165,700 - 189,200 annually

Key Requirements

  • •Bachelor’s degree.
  • •At least 4 years of compliance experience.
  • •FINRA licensed with valid Series 7 and Series 24.
  • •3+ years of experience managing conflicts of interest, gifts and entertainment, marketing material reviews and/or broker dealer branch inspections.
  • •Proficiency in Microsoft 365 and Google Workspace, with aptitude to learn various compliance systems.
Experience:Broker-dealer complianceFINRARisk management
Education:Bachelor's
Skills:CommunicationJudgmentDecision-makingIntegrityAnalytical skillsOrganizational and time management
Certifications:FINRA Series 7FINRA Series 24
Tech Stack:FINRASeries 7Series 24Microsoft 365Google WorkspaceExcel

Eligibility

Work Authorization:Authorization required. Sponsorship not provided.

Company Brief

Discover Financial
Provides consumer banking products, credit cards, personal loans, and payment services through the Discover brand. It operates a major U.S. financial network and serves individuals and merchants with lending and digital payment solutions.
Industry: Retail Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 10M to 25M
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Riverwoods, United States
Founded: 1985
WebsiteLinkedIn