Associate Broker Dealer Risk Specialist - Richmond, VA

Only for registered members Richmond, VA, United States

1 month ago

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Job summary

The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk Management professionals with excellent communication skills.

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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
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Benefits


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