Top 85 Financial consultant 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
10d
Financial Advisor - Richmond and surrounding area
Thrivent —Richmond, VA
- Background check
- Mid-level
- Business development
- Paid training
- AD&D insurance
Quick Apply
Financial Advisor
[email protected] —Colonial Heights, VA
- $50,000 - $100,000 a year
- Choose your own hours
- Background check
- Military
- Mid-level
- Paid training
- Health insurance
Quick Apply
Financial Consultant: Retirement Benefits Group
Equitable Advisors —Richmond, VA
- $24,850 - $125,000 a year
- Full-time
- Sales
- Mid-level
- Bachelor's degree
- Health savings account
- Employee stock purchase plan
Quick Apply
VP, Financial Consultant - Richmond, VA
Charles Schwab —Glen Allen, VA
- $70,000 - $110,000 a year
- Office
- Business development
- Senior level
- Paid parental leave
- Employee stock purchase plan
4d
Financial Advisor
Cornerstone Advisor Group —Richmond, VA
- $75,000 - $120,000 a year
- Full-time
- Mid-level
- Business development
- Communication skills
- Opportunities for advancement
Quick Apply
8d
Financial Representative
Northwestern Mutual —Richmond, VA
- $75,000 - $150,000 a year
- Full-time
- Background check
- Hospitality
- Sales
- Paid training
- Health savings account
Quick Apply
Financial Advisor
Edward Jones —Midlothian, VA
- $45,000 - $100,000 a year
- Full-time
- 5 years
- Military
- Mid-level
- Profit sharing
- Paid training
12d
Fast Track Manager - Career Transition
New York Life —Richmond, VA
- $60,000 - $250,000 a year
- Full-time
- Mid-level
- Office
- Business development
- Health insurance
- Dental insurance
Quick Apply
3d
Sales Development Representative - Finance
Mutual of Omaha Advisors —Richmond, VA
- Up to $96,000 a year
- Full-time
- Background check
- Classroom
- Research
- Health insurance
- Dental insurance
Quick Apply
1d
Wealth Management Trainee (VA)
Bankers Life —Richmond, VA
- $50,000 - $80,000 a year
- Full-time
- Customer service
- No experience needed
- Entry level
Quick Apply
Financial Advisor
First Command —Virginia
- Choose your own hours
- Military
- Mid-level
- Bachelor's degree
- Paid training
1d
Financial Services Professional
MassMutual Greater Richmond —Glen Allen, VA
- $90,000 - $120,000 a year
- Full-time
- Sales
- Mid-level
- In-person
- Health insurance
- Dental insurance
Quick Apply
3d
Private Client Advisor II
Bank of America —Richmond, VA
- $100,000 - $275,000 a year
- Full-time
- Background check
- CPA
- Mid-level
10d
Senior Financial Representative
LPL Financial —Richmond, VA
- $90,000 - $150,000 a year
- Full-time
- Writing skills
- Data analysis skills
- Bachelor's degree
- Health insurance
- Paid time off
Quick Apply
Private Banker- Richmond
First Citizens Bank —Richmond, VA
- $100,000 - $175,000 a year
- Full-time
- 6 years
- Office
- High school diploma or GED
Associate Financial Representative
LPL Financial —Richmond, VA
- $67,500 - $112,500 a year
- Full-time
- Research
- Mid-level
- Bachelor's degree
- Health insurance
- Paid time off
Quick Apply
11d
VP, Wealth Planner - Glen Allen, VA
Fidelity Investments —Glen Allen, VA
- $96,000 - $210,000 a year
- Full-time
- 5 years
- Bachelor's degree
- Senior level
- Loan repayment program
- Tuition reimbursement
12d
Financial Representative - Midlothian, VA
Fidelity Investments —Midlothian, VA
- $45,000 - $75,000 a year
- Full-time
- Mid-level
- Office
- Organizational skills
- Loan repayment program
- Tuition reimbursement
5d
Experienced Financial Professional
Cornerstone Advisor Group —Richmond, VA
- $90,000 - $120,000 a year
- Hybrid work
- Mid-level
- Communication skills
Quick Apply

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financial consultant 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
10 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

financial consultant jobs in richmond va

Compliance Officer and Supervisory Principal

Financial Advisor - Richmond and surrounding area

Financial Advisor

Financial Consultant: Retirement Benefits Group

VP, Financial Consultant - Richmond, VA

Financial Advisor

Financial Representative

Financial Advisor

Fast Track Manager - Career Transition

Sales Development Representative - Finance

Wealth Management Trainee (VA)

Financial Advisor

Financial Services Professional

Private Client Advisor II

Senior Financial Representative

Private Banker- Richmond

Associate Financial Representative

VP, Wealth Planner - Glen Allen, VA

Financial Representative - Midlothian, VA

Experienced Financial Professional

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