own and maintain BU’s Operational Risk framework
lead RCSA, Proactive Assessment, Control Testing and Readiness Assessment cycles
define tolerance thresholds and escalation triggers in alignment with the enterprise-wise escalation policy
identify key risks, evaluate inherent / residual risk levels, and validate control effectiveness
identify risk gaps before product go-live
oversee the 15c-3 regulatory Market Access Program
maintain operational loss event and near-miss tracking as well as overarching emerging risk identification
act as primary point of contact for operational risk topics in regulatory exams (SEC, FINRA etc.)
monitor evolving regulatory requirements and assess business impact
provide ongoing feedback, structured development plans and stretch assignments to grow department talent

at least 15 plus years of relevant risk management experience
deep understanding of the Brokerage Business including the trade lifecycle, Clearing, Custody, Prime Brokerage, Sec Lending and Cap Markets Trading
regulatory fluency in Custody / Clearing / Prime space
ability to operate at both – strategic and tactical levels including root-cause analysis to executive presentations
ability to lead teams across locations and time zones maintaining cohesion and accountability
Series 7 / 24 (required or obtained within 90 days of hire)

comprehensive health care coverage and emotional well-being support
market-leading retirement
generous paid time off and parental leave
charitable giving employee match program
educational assistance including student loan repayment, tuition reimbursement, and learning resources

Head of Risk Management – FI, Green Pier

Key skills