Managing Director, Business Risk Management Executive, Wealth Custody & Clearing
About the Company
Expanding provider of investment management, research & trading services
Industry
Financial Services
Type
Public Company
Founded
1792
Employees
10,001+
Categories
Specialties
Business Classifications
About the Role
The Company is in search of a Business Risk Management Executive with a focus on Wealth Custody and Clearing. The successful candidate will serve as the primary FINRA compliance Subject Matter Expert for the development and ongoing supervision of an introducing broker-dealer. This pivotal role involves leading the design, implementation, and enhancement of the compliance program to ensure strict adherence to FINRA, SEC, and other relevant regulatory frameworks. The BRME will be responsible for all aspects of the business's compliance, including serving as the main point of contact for regulatory matters, leading the response to examinations and audits, and proactively monitoring and updating compliance programs to address new requirements. The role also requires the ability to advise executive leadership on compliance risks, conduct risk assessments, and oversee the remediation of control gaps. Candidates for this role at the company should possess deep, hands-on expertise in FINRA and SEC regulations, broker-dealer compliance, and risk management, ideally gained from experience in G-SIFI organizations, broker-dealers, or large public accounting firms. Strong critical thinking, problem-solving, and decision-making skills are essential, as is the ability to identify and communicate risk and control themes to senior management. The ideal candidate will have a proven track record as a FINRA compliance SME, including direct involvement in the build, registration, and oversight of an introducing broker-dealer. A background in global leadership, industry certifications, and experience with risk assessments and control design are also key qualifications. The role demands a leader with the ability to collaborate across multiple stakeholders and a strong focus on regulatory compliance and broker-dealer operations.
Hiring Manager Title
COO
Travel Percent
Less than 10%
Functions