Securities finance or trading execution background
Regulatory exam and audit response experience
The role serves as a senior Business Risk and Control leader supporting regulated activities across Financing Solutions, Portfolio Solutions, and adjacent Markets businesses
Job Summary
The role serves as a senior Business Risk and Control leader supporting regulated activities across Financing Solutions, Portfolio Solutions, and adjacent Markets businesses.
Candidates must possess proven ability to manage regulatory exams, audits, and control remediation within a markets or broker-dealer context.
Employees are eligible for a comprehensive benefits program including a 401K match, insurance coverage, paid-time off, and incentive compensation.
Matching Summary
The role serves as a senior Business Risk and Control leader supporting regulated activities across Financing Solutions, Portfolio Solutions, and adjacent Markets businesses.
Salary
Base: $120,000 - $210,000 annually; Bonus/Equity: Eligible for annual performance-based awards; Benefits: Includes 401K match, insurance, PTO, and EAP
Skills & Requirements
Must-have
10+ years financial services experience
Securities finance or trading execution background
Regulatory exam and audit response experience
Front-to-back operational control design
Broker-dealer regulatory framework knowledge
Nice-to-have
Strong stakeholder influence at senior levels
Mentoring junior risk professionals
Experience with new product approvals
Ability to challenge constructively
Key Requirements
10+ years of experience in financial services
Experience in securities finance or equity total return swaps
Knowledge of SEC, FINRA, and Federal Reserve regulations