Compliance Officer/Supervisory Principal

About Capitol Securities Management

Capitol Securities Management is seeking an experienced brokerage industry professional with strong supervisory expertise and comprehensive knowledge of applicable industry regulations. This individual will serve as a centralized supervisor for designated registered representatives across the firm’s broker-dealer and investment advisory businesses and will report directly to the Chief Compliance Officer. The ideal candidate will possess prior experience within a FINRA-regulated broker-dealer environment, along with exceptional analytical and attention-to-detail skills.

Role Details

Position is full time and is onsite with future opportunities for hybrid schedule.

Responsibilities

• 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; AND 9/10 OR 24/53, FINRA Series 65 or 66
• Minimum 5 years regulatory or brokerage experience, preferably compliance related
• Experience working in a FINRA regulated broker dealer/SEC Investment Advisory Firm
• 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

About Capitol Securities

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