Risk Manager

📋 Description

• Build the risk management function as the initial hire, including an enterprise risk framework
• Support and enhance the monitoring of broker-dealer financial risks, including net capital
• Assess and monitor bank and counterparty risk, including banks participating in the cash sweep
• Run periodic enterprise risk assessments across the broker-dealer, RIA, and technology entities
• Build and maintain a risk and control matrix across all entities. Work with process owners to
• Own a central incident and issue log: lead root-cause analysis, track remediation to validated

🎯 Requirements

• 2–5 years of experience in risk management, internal controls, or a related function
• Experience in fintech, banking, brokerage, or RIA environments
• Hands-on, builder mindset: comfortable in a small firm, and focused on fixing issues with teams
• Working knowledge of broker-dealer financial responsibility rules (e.g., SEC net capital and
• Understanding of operational, credit/counterparty, and liquidity risk concepts
• Strong analytical skills and proficiency in Excel or similar tools; experience with NetSuite or

🎁 Benefits

• External or internal audit experience, or experience at a regulatory agency (e.g., FINRA, SEC, or a
• Professional certification such as FRM, CPA, CIA, or CRCM.