Top 914 Special projects 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
7d
Accountant
Shineforth —Richmond, VA
- $50,000 - $57,500 a year
- Weekends as needed
- Clean driving record
- Microsoft Outlook
- Computer literacy
- Paid holidays
- Health insurance
Sheet Metal Mechanic
KODIAK Construction Talent Solutions —North Chesterfield, VA
- $28 - $32 an hour
- Full-time
- Mechanic experience
- Construction site
- Hospital
- Health savings account
- Health insurance
Quick Apply
Home Health Clinical Coordinator
Commonwealth Home Care —Richmond, VA
- $25 - $30 an hour
- Full-time
- Google Workspace
- Mid-level
- Office
- Health insurance
- Dental insurance
Quick Apply
Manager $5000 HIRING BONUS
ARBYS —Glen Allen, VA
- $45,000 - $60,000 a year
- Weekends as needed
- Background check
- Hospitality
- Culinary experience
- Health insurance
- Dental insurance
Quick Apply
Manager
ARBYS —Richmond, VA
- $45,000 - $60,000 a year
- Weekends as needed
- Background check
- Hospitality
- Fast casual restaurant
- Health insurance
- Dental insurance
Quick Apply
Site Recruiter
Southern Foodservice Management Inc —Fort Gregg-Adams, VA
- $65,000 a year
- Heavy lifting
- Customer service
- Mid-level
Quick Apply
Business Systems Specialist - @ Plant
Quality Transportation Services, Inc. —Mechanicsville, VA
- $65,000 - $75,000 a year
- Full-time
- ERP systems
- Mid-level
- SQL
- Health savings account
- Health insurance
Quick Apply
16h
Environmental Health & Safety Manager
Sabert —Richmond, VA
- Full-time
- 5 years
- Bachelor of Science
- Bachelor's degree
- Disability insurance
- Health insurance
Experienced Customer Service Representative (1+ years)
Caldwell & Gregory —Manakin Sabot, VA
- $18 - $20 an hour
- Full-time
- Bilingual
- Microsoft Word
- Spanish
- Health savings account
- Paid holidays
Quick Apply
Artist in Residence
Ruakh Arts —Richmond, VA
- $1,000 a month
- Weekends as needed
- Background check
- Residential
- Bachelor's degree
- Paid training
- Professional development assistance
Quick Apply
Lowboy Coordinator - Richmond
Branscome —Richmond, VA
- Online Application
- Management
- Construction site
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
12d
Recreational Therapy Consultant
Therapeutic Wellness Consultation —Midlothian, VA
- $65 an hour
- Contract
- Hybrid work
- HIPAA
- Mid-level
- Case management
- Flexible schedule
Quick Apply
Survey Party Chief
James River Surveying —Richmond, VA
- $28 - $32 an hour
- Full-time
- Mid-level
- Office
- 3 years
- Paid holidays
- Health insurance
Quick Apply
RN Operating Room
Virginia Urology / Med Atlantic Inc —Richmond, VA
- $33.13 - $48.03 an hour
- Full-time
- CPR Certification
- Nursing
- Surgery
- Health insurance
- Paid time off
Quick Apply
Associate Director of Global Events and Communications
University of Richmond —Richmond, VA
- $58,011 - $76,877 a year
- Weekends as needed
- Microsoft Outlook
- Research
- Office
Sales Representative, Inside Sales - TForce Freight
TForce Freight —Richmond, VA
- Full-time
- Bachelor's degree
- No degree
- US work authorization
7d
Operations Generalist – Purchasing & Accounting
Classic Granite and Marble —Powhatan, VA
- $48,000 - $53,000 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Inventory management
- Paid holidays
- Health insurance
Quick Apply
17h
Commercial Insurance Marketing Specialist
Virginia Farm Bureau —Richmond, VA
- $57,000 - $85,000 a year
- Full-time
- Hybrid work
- Mid-level
- Communication skills
- Commercial
Quick Apply
Clinical Patient Services Center Specialist- Private Practice
Richmond Heart and Vascular Associates —Mechanicsville, VA
- From $20 an hour
- Full-time
- Private practice
- Medical office experience
- HIPAA
- Health insurance
- Dental insurance
Quick Apply

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special projects 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
7 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

special projects jobs in richmond, va

Compliance Officer and Supervisory Principal

Accountant

Sheet Metal Mechanic

Home Health Clinical Coordinator

Manager $5000 HIRING BONUS

Manager

Site Recruiter

Business Systems Specialist - @ Plant

Environmental Health & Safety Manager

Experienced Customer Service Representative (1+ years)

Artist in Residence

Lowboy Coordinator - Richmond

Recreational Therapy Consultant

Survey Party Chief

RN Operating Room

Associate Director of Global Events and Communications

Sales Representative, Inside Sales - TForce Freight

Operations Generalist – Purchasing & Accounting

Commercial Insurance Marketing Specialist

Clinical Patient Services Center Specialist- Private Practice

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

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