Associate Director - Risk and Compliance

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