Chief Risk Officer
Social Capital Resources LLC
Job Description
Job Description
Chief Risk Officer (CRO)
A leading independent financial services firm is seeking an experienced Chief Risk Officer (CRO) to lead enterprise risk management across its broker-dealer and investment advisory businesses. This executive will partner closely with senior leadership to strengthen the firm's risk framework, regulatory compliance, and governance practices.
Responsibilities- Lead and enhance the firm's Enterprise Risk Management (ERM) framework.
- Develop and maintain enterprise-wide risk policies, procedures, and controls.
- Serve as a key member of executive leadership and governance committees.
- Oversee market, credit, liquidity, operational, technology, cybersecurity, and compliance risk.
- Monitor enterprise risk exposures and recommend mitigation strategies.
- Ensure compliance with SEC, Client, and other regulatory requirements.
- Prepare and present risk reporting to executive leadership and the Board.
- Foster a strong culture of risk awareness and accountability across the organization.
- Bachelor's degree in Finance, Accounting, Business, Engineering, or a related field.
- 15 years of progressive risk management experience within financial services.
- Deep expertise in enterprise risk, regulatory compliance, and governance.
- Experience interacting with executive leadership, regulators, and board-level stakeholders.
- Strong knowledge of broker-dealer and/or investment advisory operations.
- Current Client Series 7, 24, and 57 registrations (or the ability to obtain them).
Vacancy posted 4 days ago
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