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About the Role

As a member of the Executive Management team, you will partner with the CEO, COO, CFO, and CCO to oversee brokerage operations, implement risk monitoring, and establish key risk indicators. You will lead the firm's Issues Management framework, identifying and prioritizing risks while collaborating with Product, Engineering, and Operations teams to ensure effective resolution.

Responsibilities

• Develop, maintain, and adapt Key Risk Indicators (KRIs) as the business scales
• Perform independent reviews and stress testing
• Design policies and control frameworks
• Assess new products and business changes
• Provide 2nd line of defense challenge to front-office risk management
• Identify and manage risks to the organization, employees, stakeholders, assets, and operations
• Develop risk management strategies, objectives, and policies
• Serve as primary owner for Risk and Control Self-Assessment (RCSA) and internal testing programs
• Manage due diligence for onboarding and offboarding of correspondents and partner firms
• Research, document, and resolve incidents and issues
• Recommend and implement updates to firm policies and procedures
• Provide guidance and training to promote risk control awareness and accountability
• Monitor and analyze business unit risks, including unsecured debits, and report to the Risk and Controls Committee
• Support cooperative responses to risk management matters
• Lead special projects and prepare reports for senior management and auditors

Requirements

• Knowledge of OCC Risk
• 5+ years of experience with a regulator or at a broker-dealer in the financial services industry
• FINRA Series 7 and 24 licenses
• Ability to obtain Series 4 license within 3 months of start date
• Working knowledge of investment products, services, and related SEC and FINRA regulations
• Strict confidentiality acumen
• Strong attention to detail, accuracy, and reliability
• Experience implementing and maintaining policies and procedures
• Ability to work collaboratively across teams in onsite and remote environments
• Ability to adapt to changing business and regulatory environments
• Ability to handle stressful situations with a calm and professional demeanor

Skills

• Risk Management
• Regulatory Compliance
• Policy Development
• Internal Auditing
• Due Diligence
• Incident Management
• Stakeholder Management

Location

• New York

Work Type

• Full-time

Experience Level

• 5+ years

Salary/Compensations

• Competitive Salary

Benefits

• Medical insurance
• Dental insurance
• Vision insurance
• Discretionary bonus

About the Company

• Fast-growing New York Self Clearing Broker-Dealer