Director – Risk Management

Director – Risk Management

Requirements

• Bachelor’s degree or equivalent.
• 10+ years of relevant experience.
• Active FINRA Series 7 and 24.
• Strong relationship and communication skills.
• Ability to influence and collaborate across business lines to achieve results.
• Experience with internal and regulatory audits.
• Experience with risk management programs (e.g., change management) with a specific focus on ownership of issue management programs.

Responsibilities

• Partner across the business to execute and maintain a first line of defense risk and control program. This includes key risk practices such as issue management, change management, governance, and risk metrics.
• Ensure regulatory and supervisory controls are in place and tested with the appropriate risk framework. Act as the liaison between business teams with second/third line of defense risk teams as well as the General Counsel’s Organization (GCO).
• Identify and create Key Risk Indicators (KRIs) and other risk metrics to provide transparency to senior leadership and required risk forums and/or committees.
• Oversee internal audits and external examinations that impact the S&O organization.
• Provide leadership, performance management and improvement feedback, coaching, mentoring and development of employee direct reports.
• Registered Principal supervisory responsibilities over key controls.

Preferred Qualifications

• Knowledge and experience of brokerage products and operations processes within a broker-dealer
• Understanding of the regulations and rules that impact clearing and introducing broker-dealers
• Prior experience leading a team.