Risk Management Leadership

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.