Commercial Broker Dealer Compliance Advisor

Are you a detail-oriented and analytical compliance professional seeking a challenging and rewarding opportunity? Look no further! Capital One is looking for a skilled Commercial Broker Dealer Compliance Advisor to join our dynamic team. As a member of our growing organization, you will play a critical role in ensuring compliance with regulatory requirements and promoting a culture of ethical and responsible business practices. If you possess a strong understanding of broker-dealer regulations and have a passion for promoting regulatory compliance, we want to hear from you!

1. Develop and maintain a comprehensive understanding of all relevant broker-dealer regulations and laws.
2. Conduct regular audits and reviews to ensure compliance with regulatory requirements.
3. Advise and guide internal teams on compliance matters, including new regulations and changes to existing laws.
4. Collaborate with cross-functional teams to assess and mitigate potential compliance risks.
5. Monitor and report on compliance metrics and key performance indicators.
6. Stay updated on industry developments and changes in regulatory landscape to ensure ongoing compliance.
7. Develop and implement compliance training programs for employees to promote a culture of ethical and responsible business practices.
8. Conduct investigations and resolve any compliance issues that may arise.
9. Prepare and submit necessary reports and filings to regulatory bodies.
10. Maintain accurate and organized records of all compliance activities.
11. Participate in industry conferences and events to stay current on compliance best practices and network with other compliance professionals.
12. Communicate and collaborate with external auditors and regulatory agencies as needed.
13. Continuously review and improve internal compliance policies and procedures.
14. Train and mentor junior compliance staff.
15. Uphold the company's values and code of conduct while carrying out all compliance responsibilities.

According to JobzMall, the average salary range for a Commercial Broker Dealer Compliance Advisor in Chicago, IL, USA is between $92,000 - $130,000 per year. However, this can vary based on factors such as experience, qualifications, and the specific company or firm the individual is working for.

Capital One Financial Corporation is an American bank holding company specializing in credit cards, auto loans, banking, and savings accounts, headquartered in McLean, Virginia. Capital One is ranked 11th on the list of largest banks in the United States by assets.