Broker-Dealer Compliance & Risk Advisor
$165.7k - $189.2kCapital One National Association
A financial institution is seeking a Broker Dealer Advisory Manager in New York. The role involves supporting compliance programs, managing conflicts of interest, and conducting office inspections. Strong analytical and communication skills are essential, along with a bachelor’s degree and FINRA licenses (Series 7 and 24). Candidates must have at least 4 years of compliance experience. This position offers competitive salaries and performance-based incentives, with a range of $165,700 to $189,200 annually. #J-18808-Ljbffr Capital One National Association
Vacancy posted 15 hours ago
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