Head of Risk Management

📋 Description

• Framework Design: Design and iterate the firm-wide ERM program and risk appetite.
• Risk Lifecycle Management: Standardize ERM components: RCSAs, policy, and issue management.
• Control Assurance: Oversee control assurance; validate mitigants; coordinate SOC/ICOC.
• Reporting: Develop KRIs and executive dashboards for real-time risk visibility.
• Liquidity Risk: Oversee liquidity risk framework; ensure SEC Rule 15c3-1 compliance.
• Margin & Credit Risk: Monitor margin lending parameters; manage concentration risk.
• Stock Loan & Trading Risk: 2LoD oversight for securities lending and fractional trading risks.
• Risk Operations: Build and lead risk operations; vendor risk and due diligence.

🎯 Requirements

• Experience: 10–15 yrs in Risk Mgmt; ≥5 yrs in senior leadership at FINRA BD.
• Financial Mastery: Proven liquidity, margin, and trading risk management.
• Licensing: FINRA Series 7/24 preferred; Series 4/9/10 a plus.
• Mindset: Owner mentality; able to build in a fast-growth environment.
• Digital Asset Expertise (Bonus): Crypto risk, custodial risk, liquidity challenges.
• Options Proficiency (Nice-to-Have): Greeks, multi-leg strategies, margin.

🎁 Benefits

• In-office four days a week.
• Competitive compensation, equity, 401(k) match.
• Full insurance coverage, wellness reimbursement.
• Company-provided phone and personal development allowance.
• Generous PTO, holidays, extended leave.