Director of Risk Management

A leading independent financial services firm is seeking an experienced Director of Risk to lead enterprise risk management across its broker-dealer and investment advisory businesses. This role will partner closely with senior leadership to strengthen the firm's risk framework, regulatory compliance, and governance practices.

• Lead and enhance the firm's Enterprise Risk Management (ERM) framework.
• Develop and maintain enterprise-wide risk policies, procedures, and controls.
• Serve as a key member of executive leadership and governance committees.
• Oversee market, credit, liquidity, operational, technology, cybersecurity, and compliance risk.
• Monitor enterprise risk exposures and recommend mitigation strategies.
• Ensure compliance with SEC, FINRA, and other regulatory requirements.
• Prepare and present risk reporting to executive leadership and the Board.
• Foster a strong culture of risk awareness and accountability across the organization.

• Bachelor's degree in Finance, Accounting, Business, Engineering, or a related field
• 8+ years of progressive risk management experience within financial services.
• Deep expertise in enterprise risk, regulatory compliance, and governance.
• Experience interacting with executive leadership, regulators, and board-level stakeholders.
• Strong knowledge of broker-dealer and/or investment advisory operations.
• Current FINRA Series 7 (or the ability to obtain).