Top 301 Technical advisor 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
3d
Experienced Service Technician
Mechanicsville Honda —Mechanicsville, VA
- $60,000 - $135,000 a year
- Full-time
- Clean driving record
- Dealership
- Mid-level
- Profit sharing
- Paid holidays
11d
Business Development Manager
Lyra Technology Group —Richmond, VA
- $80,000 - $90,000 a year
- HIPAA
- Mid-level
- Office
Quick Apply
Manager, Assurance
Forvis Mazars —Richmond, VA
- Full-time
- CPA
- 5 years
- Master's degree
Quick Apply
Customer Engagement Advisor
CLEAResult Consulting Inc. —Richmond, VA
- $57,000 - $83,500 a year
- Full-time
- Clean driving record
- Pass drug screening
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
4d
Technical Mission Growth Lead
Leidos —Virginia
- $131,300 - $237,350 a year
- Full-time
- Hybrid work
- Scripting
- Computer networking
- APIs
Automotive Service Advisor
Audi Richmond —Richmond, VA
- Full-time
- Clean driving record
- Dealership
- Mid-level
- Paid holidays
- Health insurance
4d
Site EHS Manager II
Amazon.com Services LLC —Richmond, VA
- $70,100 - $105,200 a year
- Full-time
- Ability to climb stairs
- Analysis skills
- Organizational skills
- AD&D insurance
- Health insurance
12d
Property Manager- Real Estate License Required
Real Property Management Richmond Metro —Henrico, VA
- $65,000 - $75,000 a year
- Full-time
- Mid-level
- Real Estate License
- Driver's License
- Paid holidays
- Health insurance
Quick Apply
Outdoor Living - Design Representative
Fahrenheit Advisors —Rockville, VA
- Construction site
- Mid-level
- Office
Quick Apply
Vice President, Enterprise Architecture and AI
Genworth —Richmond, VA
- $204,400 - $317,000 a year
- Hybrid work
- Computer science
- Computer Science
- System design
- Paid holidays
- Loan repayment program
8d
Assistant Shop Foreman
Loyalty Automotive —Chester, VA
- Up to $130,000 a year
- Full-time
- Clean driving record
- Dealership
- Mid-level
- Health savings account
- Relocation assistance
Quick Apply
10d
Sr Director of Technical and SEC Reporting
Robert Half —Glen Allen, VA
- $200,000 - $250,000 a year
- Hybrid work
- CPA
- Research
- Finance
- Disability insurance
- Dental insurance
Quick Apply
Automotive Ford Truck Service Technician (diesel/commercial)
Sheehy Ford of Richmond —Richmond, VA
- $50,000 - $200,000 a year
- Full-time
- Clean driving record
- Dealership
- Pass drug screening
- Profit sharing
- Paid training
Quick Apply
2d
Automotive Service Technician (Virginia State Inspector)
Sheehy Ford of Richmond —Richmond, VA
- $50,000 - $200,000 a year
- Full-time
- Clean driving record
- Dealership
- Pass drug screening
- Profit sharing
- Paid training
Quick Apply
3d
Automotive Service Technician Lexus
Sheehy Lexus Of Richmond —Richmond, VA
- $50,000 - $200,000 a year
- Full-time
- Clean driving record
- Dealership
- Pass drug screening
- Profit sharing
- Paid training
Quick Apply
2d
Automotive Service Technician Ford
Sheehy Ford of Richmond —Richmond, VA
- $50,000 - $200,000 a year
- Full-time
- Clean driving record
- Dealership
- Pass drug screening
- Profit sharing
- Paid training
Quick Apply
2d
Automotive Service Technician (entry level)
Sheehy Lexus Of Richmond —Richmond, VA
- $50,000 - $65,000 a year
- Full-time
- Clean driving record
- Dealership
- Pass drug screening
- Profit sharing
- Paid training
Quick Apply
4d
HVAC Truck Based Mechanic (union)
Johnson Controls —Rockville, VA
- From $36 an hour
- Full-time
- Local
- Mid-level
- Driver's License
Quick Apply
Technical Advisor
McGuireWoods LLP —Richmond, VA
- $117,300 - $150,000 a year
- Full-time
- Hybrid work
- Microsoft Excel
- Computer Science
- Mid-level

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technical advisor 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
3 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

technical advisor jobs in richmond va

Compliance Officer and Supervisory Principal

Experienced Service Technician

Business Development Manager

Manager, Assurance

Customer Engagement Advisor

Technical Mission Growth Lead

Automotive Service Advisor

Site EHS Manager II

Property Manager- Real Estate License Required

Outdoor Living - Design Representative

Vice President, Enterprise Architecture and AI

Assistant Shop Foreman

Sr Director of Technical and SEC Reporting

Automotive Ford Truck Service Technician (diesel/commercial)

Automotive Service Technician (Virginia State Inspector)

Automotive Service Technician Lexus

Automotive Service Technician Ford

Automotive Service Technician (entry level)

HVAC Truck Based Mechanic (union)

Technical Advisor

I want to receive the latest job alert for technical advisor in richmond va

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