* **High School Diploma, GED or equivalent certification*** **At least 3 years of compliance or operational experience*** **4+ years of experience within a broker dealer registration and licensing function or similar compliance experience*** **3+ years of experience supporting, partnering, and interacting with internal business clients*** **Strong analytical writing and communication skills*** **Proficiency in Microsoft 365, Google Workspace and aptitude to learn various compliance systems*** **Excel when working both independently and as part of a team*** **Be flexible and capable with the scope of work (small, medium, large efforts)*** **Excellent organizational and time management skills*** **Ability to handle and deliver multiple priorities*** **FINRA Series 99 or Series 7 license**Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. #J-18808-Ljbffr Capital One
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