Compliance Officer

Imagine a Fortune 500 company with a real maverick streak. A financial powerhouse poised to redefine its own industry. Yes, Capital One has moved into the world of retail banking! Capital One Financial Corporation is a holding company offering an unmatched range of financial products and services to consumers, small businesses and commercial clients. We're headquartered in McLean, Virginia, with more than 316 locations in Texas and Louisiana - but our ambitions are truly national.

So what does this mean for you? How about the chance to excel in our supportive, team-oriented environment. To be challenged to advance your skills alongside the brightest talent in the business. And to take on important responsibility from day one while building a rewarding career - all with a fast-growing industry leader.

? Design, generation and review of monitoring exceptions reports.? Identification and investigation of sales practice exceptions.? Synopsis and recommendations regarding the outcome of reviews and implementation of necessary changes.

? Investigate customer grievances and provide reports to management.? Respond to regulatory inquiries.
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? Conduct branch office reviews primarily in Louisiana and Texas.? Provide reports to management concerning findings.

? Assist in the development or modification of firm policies & procedures.? Provide compliance guidance and solutions to the sales department.? Aid in implementing solutions that maintain compliance with regulatory requirements.

? Implementation and monitoring of heightened supervision of registered persons

? Completion of firm element needs analysis, training plan and implementation

? Review of electronic correspondence through Zantaz Digital
Supervisor

? Other duties as assigned by Supervisor.

Responsible for surveillance of securities, investment advisory and insurance activities.
Branch office inspections currently in Louisiana and Texas
Responding to customers concerns regarding their accounts
Provides professional and efficient administration and application of compliance regulations to ensure appropriate business decisions.

Required Skills:
Education and Related Experience ??
* Bachelor degree required in Accounting, Business or related field
* Minimum 3+ years of securities industry experience preferably with a broker/dealer, investment advisor, regulatory authority, insurance company or mutual fund company?
* A NASD Series 7 and 24 registration is preferred or must be obtained?
* Must have the ability to interpret NASD, MSRB and SEC rules.

Skills and Abilities ??
* Applicant must possess creative, problem solving skills and the ability to grasp concepts from problem identification through the ramifications of solutions.?
* Applicant must present leadership and authority in decision making?
* Strong verbal and written communications skills; strong attention to detail
* Ability to plan, prioritize and organize effectively and work under pressure deadlines to see projects through to conclusion
* Working knowledge of PC based Word processing and Spreadsheet software.
* General knowledge of accounting.
* Excellent knowledge of compliance laws and regulation.
* Working knowledge of brokerage back office processing.
* Working knowledge of compliance and regulatory procedures for NASD, OCC, and all applicable regulatory agencies.
* Good organizational skills.
* Ability to effectively manage time.
* Independent and self-motivated.
* Detail-oriented.
* Excellent verbal and written communication skills.
* Excellent interpersonal and customer service skills.
* Strong analytical skills.

Working Conditions and/or Physical Requirements ?
* Ability to work under stress and meet deadlines.
* Ability to operate a keyboard if required to perform the essential job functions.
* Ability to read and interpret a document.
* Ability to travel to perform the essential job functions.
* Ability to lift/move/carry approximately 20 pounds if required to perform the essential job functions.? If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department an "undue hardship" then the employee must be accommodated; hence, omitting lifting as a physical requirement.

How to Apply -
To apply, please visit www.capitalone.com/careers
Job reference #16534





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