Job Description
Associate Director - Risk and Compliance - Hybrid - 140-150k
Compensation & Structure:
Base: $141,000 - $150,000
Location: Hybrid (Dallas, Jersey City, DC, or Tampa)
Full Benefits Package
Role Overview:
Associate Director, Risk Aligned Compliance focusing on Financial Risk Management controls and regulatory compliance, particularly with Covered Clearing Agency Standards (CCAS). Primary focus on Market, Credit, and Liquidity Risk monitoring and control validation.
Core Responsibilities:
Evaluate and monitor financial risk management controls
Maintain regulatory requirement inventory
Assess policy and procedure compliance
Prepare board and senior management reports
Support regulatory examinations and inquiries
Monitor key risk compliance requirements
Track regulatory findings and operational incidents
Required Experience:
8+ years relevant experience
Financial regulator background (FINRA, SEC, FRB, etc.) preferred
Banking/broker-dealer risk management experience
Market, credit, and/or liquidity risk expertise
Project management experience
Preferred Background:
Experience at financial regulators
Audit background
Clearing agency knowledge
Banking/securities law understanding
Financial risk management expertise
Education:
Bachelor's degree preferred or equivalent experience
Key Success Factors:
Strong regulatory knowledge
Risk assessment capabilities
Process improvement focus
Leadership skills
Organizational excellence
Cross-functional collaboration ability
Target Candidate Profile:
Ideal candidates will come from:
FINRA or other financial regulators
Bank/broker-dealer risk management
Investment firm risk departments
Financial services audit teams
Notes:
Ideal candidates will have regulatory background (ideally FINRA) with transition into bank/broker-dealer risk management roles. Strong understanding of market risk, credit risk, and liquidity risk required. Audit background is a plus.
Requirements
8+ years relevant experience
Financial regulator background (FINRA, SEC, FRB, etc.) preferred
Banking/broker-dealer risk management experience
Market, credit, and/or liquidity risk expertise
Project management experience
Qualification
Bachelor's Degree
Key skill Required
- Project Management
- Credit Risk
- Audit
- Collaboration
- Compliance
- Financial Risk Management
- Financial Services
- Leadership
- Management
- Process Improvement
- Regulatory Compliance
- Risk Management
- Risk Monitoring
- Securities Law
- Senior Management
- Validation
