Risk Management Manager

About the position

Provide operational and/or financial risk management by leading the organization in critical risk control development and day-to-day risk oversight. Provide project support and lead process reviews identifying risk and developing solutions while maintaining regulatory and supervisory controls. Serve as an escalation point of contact/risk liaison by working closely with business leaders, staff, and external partners to ensure appropriate information exchange and to drive forward risk reducing recommendations and actions.

Responsibilities
• Facilitate alignment, resolve escalated issues and provide a point of contact for business and external senior leaders.
• Identify and reduce risk through system and process validation, ensure system reporting and systems displays are accurate and compliant.
• Provide expertise to other areas for enhancement and implementation of Self–Monitoring plans.
• Ensure regulatory and supervisory controls are in place for products and processes by acting as a point of contact for internal, external business partners, such as Compliance, Legal, Products, and senior leaders.
• Direct and guide initiatives by validating applicable SEC or FINRA rules to business processes and enhancing processes or documentation as necessary.
• Review reports illustrating risk parameters and metrics associated with business lines.
• Ensure data sources have high integrity and appropriate risk measures are used.
• Mitigate risk by developing and/or monitoring operational metrics across business.
• Initiate and/or conduct Risk Assessments across business.
• Develop and enhance risk measurement policies, procedures and metrics.
• Enhance risk reporting with new ideas gathered from research, best practices, and knowledge.
• Lead operational and regulatory audits (i.e. NASD/SEC, FINRA, Sarbanes Oxley).

Requirements
• Education: Bachelors degree or equivalent.
• Experience: 3-5 years of relevant experience.
• Strong analytical, organizational, and time management skills.
• Strong ability to lead, partner, and influence across all leadership levels.
• Excellent written and verbal communication skills.
• Ability to drive results and meet deadlines to reduce risks.
• Must be able to work independently.
• Demonstrated people leadership experience, either through direct leadership or coaching/mentoring roles.
• Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Nice-to-haves
• Active FINRA Series 7 license.
• Knowledge and experience of brokerage products and operations processes within a broker-dealer.
• Understanding of the regulations and rules that impact clearing and introducing broker-dealers.

Benefits
• vacation time
• sick time
• 401(k)
• health, dental and life insurances