The position will be available to candidates in Minneapolis MN and Charlotte NC.Key ResponsibilitiesProvide direct oversight of risk and control functions across Trading (Equities, Options, Fixed Income, Managed Accounts) and Operations to ensure controls are designed and operating effectively to mitigate operational, financial, and regulatory riskExecute and supervise key trading and operational controls, including:Counterparty risk reviewsMark‑up/mark‑down practicesExecution quality monitoringTrading‑related supervisory controlsOversee regulatory reporting and control functions, including:Consolidated Audit Trail (CAT)TRACE and MSRB transaction reportingTrading activity feesGeneral ledger reconciliationsMonitor and evaluate regulatory developments impacting clearing and introducing broker‑dealers and assess business impactAct as a primary liaison with Trading, Operations, Internal Audit, Compliance, Legal, and regulators, including participation in industry advocacy effortsIdentify control gaps and deficiencies, assess risk exposure and materiality, and implement cost‑effective remediation strategiesPromote continuous improvement and a strong risk awareness culture across the organizationLead and develop a team of risk professionals, including performance management, coaching, mentoring, and career developmentFoster a culture of accountability, risk awareness, and continuous improvementRequired QualificationsBachelor's degree or equivalent experience10+ years of financial services experience with a focus on risk management, controls, and broker‑dealer operationsActive FINRA Series 7 and Series 24 licensesFINRA Series 53 (or ability to obtain within 120 days)Strong knowledge of clearing broker‑dealer regulations, equity and fixed income trading processes, and regulatory reporting frameworks (e.g., TRACE, CAT, MSRB)Experience with risk programs (RCSA, issue management, change management)Experience with regulatory exams, audits, and supervisory controlsProven ability to influence and collaborate across business lines and external stakeholdersPrior team leadership experiencePreferred QualificationsExperience with financial and regulatory reportingKnowledge of Operations Control functions (e.g., customer protection, break/fail monitoring)Experience with advisory productsBackground in trading or operations risk environmentsExperience with treasury and regulatory reportingVisa SponsorshipApplicants 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).Base Pay SalaryThe estimated base salary for this role is $131,000 – $180,100 a year. Lead, execute, and continuously enhance the first Line of Defense risk management program for the Service & Operations organization, with a focus on Trading, Regulatory Reporting, and Operations control functions within a clearing broker‑dealer.