Capital One Senior Manager, Senior Counsel - Commercial Bank Legal in Bethesda, Maryland

Bethesda Metro Center (17049), United States of America, Bethesda, Maryland

At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Senior Manager, Senior Counsel - Commercial Bank Legal

The Role: The Senior Counsel (Senior Manager) will be the primary business counsel for Capital One Securities, a commercial broker/dealer, on day to day matters and on major initiatives as this business continues to grow, providing research and interaction with both internal and external counsel and internal business and compliance partners. This position requires deep experience with and insight into FINRA rules to be able to provide nimble and sound legal advice. Working closely with compliance partners, you will help navigate regulations and business goals while providing the highest standards of legal support. In addition, you will be part of a larger team supporting Commercial Real Estate, Treasury Management and the rest of the Capital Markets group.

Responsibilities:

  • Provide advice and guidance to a broker/dealer subsidiary of a financial holding company on applicable federal laws, rules and regulations as well as FINRA regulations

  • Collaborate and liaise with Compliance effectively

  • Exceptional judgment and creativity, with the ability to think strategically and give practical advice appropriately balancing legal, pragmatic and business-focused objectives

  • Managing and coordinating outside counsel, when necessary

  • Analyze new federal and state laws for applicability and impact to the business; coordinate implementation of new laws with compliance, risk and business partners

  • Work closely with, and support, other members of the Commercial Legal team as needed.

The successful candidate will have:

  • Ability to build collegial and effective relationships with business clients, attorneys, and corporate compliance professionals

  • Ability to prioritize and manage a significant volume of legal advice requests from a broad range of associates with overlapping deadlines

  • Ability to rapidly internalize new information and make quick, well-grounded decisions

  • Great interpersonal skills and ability to collaborate and communicate

  • Strong oral communication skills with the ability to influence others

Basic Qualifications:

  • Juris Doctorate with state bar admission

  • At least 4 years of law firm OR At least 4 years of in-house counsel experience, working on FINRA-regulated entities

  • At least 1 year of experience with commercial bank capital markets products

Preferred Qualifications:

  • Juris Doctorate with 5+ years law firm and/or in-house counsel experience supporting a commercial broker/dealer on both investment banking and Research, Sales and Trading

  • Experience in Commercial Bank Capital Markets support

  • Experience in supporting a SEC-registered investment advisor

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.