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.

- 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