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About the Role
The Chief Risk Officer (CRO) is a newly created role responsible for enterprise-wide risk management, regulatory compliance, and safety and resilience programs. This leader will oversee the integration of regulatory and compliance functions with a comprehensive enterprise risk management framework, ensuring iCapital operates with strong governance and disciplined risk oversight as the business scales globally. Reporting to the Chief Financial Officer, the CRO will partner with executive leadership and the Board to proactively identify, assess, and manage risk across iCapital’s global platform. This role is critical to iCapital’s continued growth, requiring a seasoned executive with deep expertise in alternative investments, complex regulatory environments, and enterprise risk management. The CRO will oversee administrative and strategic activities of teams responsible for regulatory compliance, risk management, controls, and resilience, serving as a trusted advisor to senior leadership.
Responsibilities
- Oversee regulatory compliance across iCapital’s global footprint, including U.S., Canada, UK, Europe, and APAC jurisdictions, and support expansion into new regulated markets.
- Provide leadership on regulatory requirements governing alternative investments, structured investments, annuities, and registered and private fund vehicles.
- Oversee regulatory registrations, licensing, exemptions, and ongoing obligations with regulators including the SEC, FINRA, and international authorities.
- Ensure the development and maintenance of scalable policies, procedures, training, and controls aligned with regulatory requirements and business strategy.
- Lead regulatory examinations, audits, and inquiries, maintaining strong, credible relationships with regulators and external advisors.
- Design, evolve, and execute iCapital’s enterprise risk management framework, including risk appetite, governance, assessment, and reporting across all business lines and geographies.
- Provide oversight through established governance forums, including the Board‑level Audit & Risk Management Committee, Corporate Risk Management Committee, and operational risk working groups.
- Maintain and enhance the enterprise risk register, integrating Risk Control Self‑Assessments (RCSAs), risk appetite metrics, and issue management into a consistent, scalable framework.
- Serve as a primary point of contact for senior management and the Board on risk‑related matters, delivering clear, actionable insights and recommendations.
- Partner with Finance, Technology, Legal, and Operations to strengthen internal controls, including IT General Controls (ITGCs), ICFR, and operational controls.
- Oversee SOC 2 audits across business lines, managing auditor relationships, evidence collection, remediation, and ongoing control maturity.
- Collaborate with Technology and Security teams to manage platform, data protection, and information security risk in a technology‑enabled business model.
- Ensure the firm’s ability to continue delivering critical services through disruption by maintaining approved business continuity and disaster recovery plans, validated through regular testing.
- Oversee a centralized enterprise incident management framework, including escalation protocols, response playbooks, and crisis communications.
- Provide oversight of physical security, life safety, and emergency preparedness programs across offices, travel, and firm‑sponsored events.
- Lead, mentor, and develop global teams across risk management and compliance functions, fostering a culture of accountability, partnership, and continuous improvement.
- Work closely with Finance, Legal, Technology, Product, and Business leaders to embed risk awareness into decision‑making while enabling growth and innovation.
- Promote a strong risk and compliance culture that balances commercial objectives with disciplined governance.
Requirements
- 15+ years of senior leadership experience in risk management, compliance, or governance within financial services, fintech, asset management, broker‑dealer, or investment advisory environments
- Deep, hands‑on experience with alternative investments, including regulatory treatment, product structure, and distribution considerations
- Proven ownership of regulatory compliance in highly regulated environments, including direct interaction with regulators and responsibility for examinations and audits
- Demonstrated success designing and operating enterprise risk management frameworks in complex, multi‑jurisdictional organizations
- Strong knowledge of U.S. securities regulation (SEC, FINRA, Advisers Act, Investment Company Act, AML/KYC) and familiar with international frameworks such as AIFMD and MiFID
- Credible, confident leader with the judgment and independence to challenge constructively and advise senior leadership and the Board
- Able to translate complex regulatory and risk concepts into practical, scalable solutions aligned with business strategy
- Experience leading and scaling specialized global teams.
- Bachelor’s degree required
- Advanced degree (JD, MBA, or equivalent) strongly preferred.
- Professional certifications (FRM, CRCMP, CFA, CPA, CAMS) a plus
Skills
- Risk Management
- Regulatory Compliance
- Enterprise Risk Management
- Governance
- Safety
- Resilience
- Incident Management
- Alternative Investments
- Financial Services
- Fintech
- Asset Management
- Broker-Dealer
- Investment Advisory
- U.S. Securities Regulation
- AIFMD
- MiFID
- Internal Controls
- IT General Controls (ITGCs)
- ICFR
- SOC 2 Audits
- Business Continuity Planning
- Disaster Recovery Planning
- Crisis Communications
- Physical Security
- Life Safety
- Emergency Preparedness
- People Leadership
- Mentoring
- Team Development
- Cross-Functional Collaboration
Location
- New York, NY
Work Type
- Hybrid
Experience Level
- Senior Leadership
Education Level
- Bachelor's Degree
- Advanced Degree (JD, MBA, or equivalent) strongly preferred
- Professional Certifications (FRM, CRCMP, CFA, CPA, CAMS) a plus
Salary/Compensations
- $350,000 to $400,000
Benefits
- Equity for all full-time employees
- Annual performance bonus
- Employer matched retirement plan
- Generously subsidized healthcare
- 100% employer paid dental
- 100% employer paid vision
- 100% employer paid telemedicine
- 100% employer paid virtual mental health counseling
- Parental leave
- Unlimited paid time off (PTO)
About the Company
- For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us
- Twitter: @icapitalnetwork
- LinkedIn: https://www.linkedin.com/company/icapital-network-inc
- Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
Equal Opportunity
- iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer.
- We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.