Top 120 Compliance 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
8d
Experienced Bank Secrecy Act Officer (5 YRS Required)
Henrico Federal Credit Union —Henrico, VA
- $62,096.73 - $77,620.91 a year
- Full-time
- Background check
- Office
- Finance
- Health savings account
- Health insurance
Quick Apply
Contract & Compliance Coordinator
Virginia Health Information —Richmond, VA
- $65,000 - $75,000 a year
- Full-time
- Hybrid work
- Background check
- HIPAA
- Mid-level
- Paid holidays
- Health insurance
Quick Apply
6d
Insurance Compliance Analyst
VA Workers' Compensation Comm —Richmond, VA
- $54,728 - $82,092 a year
- Full-time
- Research
- Mid-level
- Office
6d
Specialist, Risk and Compliance Services (Center of Excellence)
Deloitte —Richmond, VA
- $63,000 - $116,000 a year
- Full-time
- Microsoft Outlook
- Research
- Mid-level
12d
Behavioral Health Auditor
Satori Solutions —Richmond, VA
- Part-time
- Mid-level
- Paid holidays
- Paid time off
Medical Claims Auditor
Satori Solutions —Richmond, VA
- Part-time
- Mid-level
- Paid holidays
- Paid time off
Specialist, Risk and Compliance Services (Personal Consultation)
Deloitte —Richmond, VA
- $63,000 - $116,000 a year
- Full-time
- Microsoft Word
- Mid-level
- 3 years
Specialist, Risk and Compliance Services (PC)
Deloitte —Richmond, VA
- $63,000 - $116,000 a year
- Full-time
- Microsoft Word
- Research
- Mid-level
Data Center Security Manager, Compliance, Strategy, and Risk Management
Google —Richmond, VA
- $116,000 - $168,000 a year
- Full-time
- 5 years
- English
- Master's degree
9d
BSA Compliance Officer
Argent Federal Credit Union —Chester, VA
- Office
- Senior level
Quick Apply
9d
Compliance Manager
Mission Lane —Richmond, VA
- $129,000 - $140,000 a year
- Full-time
- Remote
- 6 years
- Travel
- Senior level
- Paid parental leave
- Disability insurance
Specialist Lead, Risk and Compliance Services
Deloitte —Richmond, VA
- $80,400 - $148,000 a year
- Full-time
- 5 years
- Analysis skills
- Bachelor's degree
Human Resources Manager - Compliance
Owens & Minor Distribution Inc. —Glen Allen, VA
- $115,000 - $125,000 a year
- Full-time
- 7 years
- Mid-level
- Analysis skills
- Health savings account
- Disability insurance
Quick Apply
Regulatory Compliance Specialist
Winebow —Glen Allen, VA
- $55,000 a year
- Overtime
- Hybrid work
- Microsoft Outlook
- Mid-level
- Office
- AD&D insurance
- Health insurance
1d
Compliance Analyst
Davenport & Company —Richmond, VA
- $55,000 - $65,000 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Mid-level
- Profit sharing
- Health savings account
Manager, Monitoring Compliance
SimpliSafe —Richmond, VA
- $100,000 - $130,000 a year
- Hybrid work
- 5 years
- Office
- Mentoring
Quick Apply
10d
Assistant Deputy Commissioner - Bank & Credit Unions (Hybrid)
State Corporation Commission —Richmond, VA
- $116,750 - $130,000 a year
- Hybrid work
- Management
- Office
- Recruiting
Compliance Assistant
Agency Cyber Inc —Richmond, VA
- From $20 an hour
- Full-time
- No experience needed
- Office
- Bachelor's degree
- Paid holidays
- Paid time off
Quick Apply
Senior Governance & Compliance Analyst
Hamilton Beach Brands, Inc. —Glen Allen, VA
- $76,790 - $93,245 a year
- Full-time
- Hybrid work
- Office
- 3 years
- Bachelor's degree
- Profit sharing
- Health savings account
Quick Apply

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compliance 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
8 days 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

compliance jobs in richmond, va

Compliance Officer and Supervisory Principal

Experienced Bank Secrecy Act Officer (5 YRS Required)

Contract & Compliance Coordinator

Insurance Compliance Analyst

Specialist, Risk and Compliance Services (Center of Excellence)

Behavioral Health Auditor

Medical Claims Auditor

Specialist, Risk and Compliance Services (Personal Consultation)

Specialist, Risk and Compliance Services (PC)

Data Center Security Manager, Compliance, Strategy, and Risk Management

BSA Compliance Officer

Compliance Manager

Specialist Lead, Risk and Compliance Services

Human Resources Manager - Compliance

Regulatory Compliance Specialist

Compliance Analyst

Manager, Monitoring Compliance

Assistant Deputy Commissioner - Bank & Credit Unions (Hybrid)

Compliance Assistant

Senior Governance & Compliance Analyst

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

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