Director of Risk, Brokerage
Core
Administer and implement brokerage risk management programs, overseeing risk activities across broker dealers and financial entities.
Role type
Director of Risk (Brokerage)
Builds
Risk management frameworks, RCSAs, risk committee materials, and executive reporting dashboards.
Domain
Financial Services / Brokerage / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Broker dealer operations expertise, Risk management frameworks (RCSA), Regulatory compliance, Data analytics, Team leadership, Strategic risk planning
Preferred skills
AI tools application, Emerging risk identification, Executive stakeholder influence
Technologies
Data analytics tools, Risk reporting solutions
Responsibilities
Design and implement best-in-class risk management practices; Oversee risk assessment activities including RCSAs and new product reviews; Direct aggregation and presentation of risk committee materials; Provide independent oversight of risk and control environment; Build and develop a high-performing risk team; Synthesize risk data to surface emerging trends and support strategic decisions.
