Risk Management Leadership

New

Skills

Control Assurance Enterprise Risk Management (ERM) Key Risk Indicators (KRIs) Liquidity Risk Management Margin Risk Management Policy Management Risk Control Self-Assessment (RCSA) SEC Rule 15c3-1 Compliance Securities Lending Oversight Vendor Risk Management

The Head of Risk Management will be responsible for designing and iterating a firm-wide Enterprise Risk Management (ERM) program, ensuring compliance, and overseeing various risk components. This role requires a strong leader with extensive experience in risk management, particularly in a financial services environment.

Key Responsibilities
  • Design and iterate the firm-wide ERM program and risk appetite.
  • Standardize ERM components including RCSAs, policy, and issue management.
  • Oversee control assurance, validate mitigants, and coordinate SOC/ICOC.
  • Develop Key Risk Indicators (KRIs) and executive dashboards for real-time risk visibility.
  • Ensure compliance with SEC Rule 15c3-1 and oversee liquidity risk framework.
  • Monitor margin lending parameters and manage concentration risk.
  • Provide 2LoD oversight for securities lending and fractional trading risks.
  • Build and lead risk operations, including vendor risk and due diligence.
Requirements & Qualifications
  • 10–15 years of experience in Risk Management, with at least 5 years in senior leadership at a FINRA Broker-Dealer.
  • Proven expertise in liquidity, margin, and trading risk management.
  • FINRA Series 7/24 preferred; Series 4/9/10 is a plus.
  • Owner mentality and ability to thrive in a fast-growth environment.
  • Bonus for expertise in digital assets, including crypto risk and custodial risk.
  • Nice-to-have knowledge of options proficiency, including Greeks and multi-leg strategies.

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Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: Months

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