Accounting, Brokerage, Contract Research Organization (CRO), Finance, Financial Risk Management, Financial Services, Internet Security, Leadership, Liquidity, Maintain Compliance, Market Tracking, Regulatory Compliance, Regulatory Requirements, Risk, Risk Management, Securities and Exchange Commission (SEC), Series 7
A leading independent financial services firm is seeking an experienced Chief Risk Officer (CRO) to lead enterprise risk management across its broker-dealer and investment advisory businesses. This executive will partner closely with senior leadership to strengthen the firm's risk framework, regulatory compliance, and governance practices.
Responsibilities
- 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, Client, 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.
Qualifications
- Bachelor's degree in Finance, Accounting, Business, Engineering, or a related field.
- 15+ 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 Client Series 7, 24, and 57 registrations (or the ability to obtain them).
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Social Capital Resources LLC