Top 975 Area representative Jobs in Richmond, Va

Compliance Officer and Supervisory Principal
Capitol Securities Management, Inc. —Glen Allen, VA
- From $95,000 a year
- Full-time
- Management
- Office
- Supervising experience
- Health insurance
- Dental insurance
Quick Apply
1d
Field Trainer- Electrical Power Distribution/Storm Repair
PowerGrid Services, LLC —Virginia
- $45 - $55 an hour
- Extended hours
- Classroom
- Microsoft Excel
- Microsoft Outlook
- Health insurance
- Dental insurance
Quick Apply
1d
Auto/Diesel Fleet Mechanic
Stemmle Plumbing Heating and Air —Midlothian, VA
- $24 - $30 an hour
- Urgently hiring
- Background check
- Mechanic experience
- Ability to walk for extended periods
- Health insurance
- Dental insurance
Quick Apply
Accountant
Shineforth —Richmond, VA
- $50,000 - $57,500 a year
- Weekends as needed
- Clean driving record
- Microsoft Outlook
- Computer literacy
- Paid holidays
- Health insurance
10d
Service Technician
Kemira —Ashland, VA
- $25.35 - $30.53 an hour
- Overtime
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
Quick Apply
B2B Outside Sales Representative
SMS —Richmond, VA
- $100,000 - $110,000 a year
- Full-time
- Mid-level
- 3 years
- High school diploma or GED
- Health insurance
- Dental insurance
Quick Apply
16h
Over the Road Driver (Extraboard - Fully Endorsed)
Estes Express Lines —Richmond, VA
- $0.84 - $0.90 per mile
- Full-time
- Hazmat Endorsement
- Customer service
- Pass drug screening
- Cell phone reimbursement
- Opportunities for advancement
Truck Driver - CDL Class A - Penske Logistics
Penske Truck Leasing and Logistics —Richmond, VA
- $72,800 a year
- Overnight shift
- Dedicated
- Hazmat Endorsement
- Customer service
- AD&D insurance
- Paid holidays
6d
Territory Sales Representative: Renewables/ Power Transmission & Distribution
Roxtec Inc —Richmond, VA
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Bachelor of Science
- Paid holidays
- Disability insurance
Quick Apply
6d
Truck Driver - CDL Class A - Penske Logistics
Penske Truck Leasing and Logistics —Richmond, VA
- $72,800 a year
- Full-time
- Dedicated
- Hazmat Endorsement
- Customer service
- AD&D insurance
- Paid holidays
3d
Landscape Design and Sales Rep
Terra Forma Landscaping —Henrico, VA
- $55,000 - $66,000 a year
- Full-time
- Background check
- Spanish
- Clean driving record
- Fuel card
- Paid holidays
Quick Apply
Field Appraiser
Vision Government Solutions Inc —Richmond, VA
- $17 - $20 an hour
- Full-time
- Ability to walk for extended periods
- Ability to climb stairs
- Driver's License
- Mileage reimbursement
- Paid holidays
Utility Relocations Coordinator (Washington, D.C. / Richmond, VA)
RailPros —Richmond, VA
- $85,000 - $120,000 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- 5 years
- Commuter assistance
- Health savings account
Quick Apply
13d
Heavy Civil Project Manager
Thalle Construction Company —Virginia
- Civil engineering
- Construction site
- Bachelor of Science
- Paid holidays
- Disability insurance
Quick Apply
Sales Coordinator
Kalyan Hospitality —Henrico, VA
- $20 - $26 an hour
- Full-time
- Microsoft Outlook
- Mid-level
- Analysis skills
Sales Representative - Uncapped Commission
TQL —Richmond, VA
- $40,000 - $75,000 a year
- Full-time
- Customer service
- No experience needed
- Office
- Relocation assistance
- Health insurance
Quick Apply
Maintenance Technician
AMERI-CANS —Henrico, VA
- $21 - $24 an hour
- Full-time
- Carpentry
- Background check
- Mechanic experience
- AD&D insurance
- Paid holidays
Quick Apply
19h
Catering Sous Chef
Trolley Hospitality Companies —Richmond, VA
- $44,000 - $55,000 a year
- Full-time
- ServSafe
- Driver's License
- Driving
- Paid holidays
- Disability insurance
Quick Apply
13d
Field Engineer
Thalle Construction Company —Virginia
- Construction site
- 5 years
- Mid-level
- Paid holidays
- Disability insurance
Quick Apply
Outside Sales Consultant
Bath Fitter —Richmond, VA
- $100,000 - $200,000 a year
- Full-time
- Background check
- Clean driving record
- Customer service
- Health insurance
- Dental insurance
Quick Apply

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area representative jobs near richmond, va

Compliance Officer and Supervisory Principal

Capitol Securities Management, Inc. -
Glen Allen, VA

Quick Apply

Job Details

Full-time
From $95,000 a year
1 day ago

Benefits

Health insurance
Dental insurance
401(k)
Paid time off
Vision insurance

Qualifications

Series 7
Series 24
FINRA License

Full Job Description

Job Title: Compliance Officer/Supervisory Principal

Job Description:

Capitol Securities Management seeks an experienced professional in the brokerage industry with in depth knowledge that includes supervisory experience, and applicable industry regulatory knowledge. This individual will be responsible for serving as a direct centralized supervisor of designated registered representatives for the firm’s broker dealer and investment advisory firms. This individual will report to the Chief Compliance Officer. The desired candidate will have experience working in a FINRA regulated broker dealer, and strong attention to detail.

Position is full time and is onsite in the Glen Allen, VA area.

Specific responsibilities include:

Provide centralized supervision of registered representatives and associated persons to ensure compliance with FINRA, SEC, state regulatory, and firm requirements.
Review and monitor electronic communications, correspondence, advertising, and social media activity for regulatory compliance.
Conduct surveillance and review of customer trading activity to identify unsuitable transactions, excessive trading, outside business activities, private securities transactions, or other potential violations.
Review monthly and quarterly compliance-generated exception reports.
Monitor broker sales practices, new account activity, managed accounts, and account maintenance processes.
Follow up with registered representatives to ensure customer accounts remain compliant with firm policies and regulatory standards.
Communicate with advisors, clients, clearing firms, transfer agents, and other parties as needed to resolve service or compliance-related matters.
Conduct internal compliance branch audits; minimal travel required.
Assist with various compliance initiatives, special projects, and departmental tasks as assigned.

Desired Skills & Experience

Bachelor’s Degree or equivalent required
Licenses Required: FINRA Series 7; FINRA Series 9/10 OR 24/53, and FINRA Series 65 or 66
Minimum 5 years regulatory or brokerage experience, preferably compliance related
Experience working in a FINRA regulated broker dealer
Strong technical skills and knowledge of Microsoft Office programs
Diligent attention to detail
Effective organization, control and follow up of work
Ability to oversee/manage daily processing
Excellent analytical and problem solving abilities
Ability to multi task

Company Description:

Capitol Securities is a privately owned full service retail brokerage group founded in 1981 and headquartered in Richmond, Virginia.

Capitol has more than 200 investment professionals serving approximately 18,000 accounts in multiple locations throughout the United States, with total client assets in excess of $10 billion.

With a goal of helping create financial stability and security for our clients through a balanced approach to investing, we have earned a reputation for excellence in our industry for over 25 years.

www.capitolsecurities.com

Job Type: Full-time

Pay: From $95,000.00 per year

Benefits:

401(k)
Dental insurance
Health insurance
Paid time off
Vision insurance

Physical Setting:

Office

License/Certification:

Series 7 (Required)
Series 24 (Preferred)

Work Location: In person

Quick Apply

Refine Your Search

area representative jobs in richmond, va

Compliance Officer and Supervisory Principal

Field Trainer- Electrical Power Distribution/Storm Repair

Auto/Diesel Fleet Mechanic

Accountant

Service Technician

B2B Outside Sales Representative

Over the Road Driver (Extraboard - Fully Endorsed)

Truck Driver - CDL Class A - Penske Logistics

Territory Sales Representative: Renewables/ Power Transmission & Distribution

Truck Driver - CDL Class A - Penske Logistics

Landscape Design and Sales Rep

Field Appraiser

Utility Relocations Coordinator (Washington, D.C. / Richmond, VA)

Heavy Civil Project Manager

Sales Coordinator

Sales Representative - Uncapped Commission

Maintenance Technician

Catering Sous Chef

Field Engineer

Outside Sales Consultant

I want to receive the latest job alert for area representative in richmond, va

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