Director-Risk Management
Core
Lead and enhance the first Line of Defense risk management program for a clearing broker-dealer's Service & Operations organization, focusing on Trading, Regulatory Reporting, and Operations control functions.
Role type
Director, Risk Management (Clearing Broker-Dealer)
Builds
Risk mitigation frameworks, regulatory reporting controls, and operational control designs for equities, options, and fixed income trading.
Domain
Financial Services / Clearing Broker-Dealer / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Risk management program design, regulatory reporting (TRACE, CAT, MSRB), broker-dealer operations, team leadership, control gap analysis, stakeholder liaison
Preferred skills
Financial reporting, Operations Control functions, advisory products, treasury reporting
Technologies
FINRA Series 7, Series 24, Series 53, RCSA, issue management, change management
Responsibilities
Provide direct oversight of risk and control functions across Trading and Operations; Execute and supervise key trading and operational controls; Oversee regulatory reporting and control functions; Monitor and evaluate regulatory developments; Act as a primary liaison with business lines, audit, compliance, and regulators; Identify control gaps and implement remediation strategies; Lead and develop a team of risk professionals.
Seniority
Director, strategic oversight & team leadership