Director of Risk, Brokerage

Chicago · Denver · Lake Mary, FL · 5+ years experience · Posted Oct 6, 2026

At a glance

As Director of Brokerage Risk, you will partner closely with brokerage leadership and cross-functional risk teams to refine risk management capabilities.
You will lead the team's Data Analytics and Solutions function to surface actionable risk insights across the enterprise.
You will play an influential role in proposing and implementing strategic risk initiatives.

Lead and drive consensus with senior management and cross-functional risk partners to design and implement best-in-class risk management practices, balancing rigorous risk mitigation with operational efficiency
Own and evolve the Risk Management Program documentation, establishing clear standards and frameworks that create demonstrable value across the broker dealer enterprise
Oversee risk assessment activities including RCSAs, new product reviews, and emerging risk identification, ensuring rigor, consistency, and regulatory alignment
Direct the aggregation and presentation of risk committee materials and executive management reporting, translating complex risk data into clear, actionable decision-support insights
Provide independent, objective oversight of the broker dealers' risk and control environment, holding business partners accountable for accurate and timely risk management execution
Build, lead, and develop a high-performing team of risk professionals, setting strategic direction, coaching for growth, and delivering consistently excellent work product
Harness data analytics and risk reporting solutions to synthesize the broker dealers' risk data, surface emerging trends, and deliver clear, actionable insights that support strategic risk decisions

10+ years of experience in financial services, with comprehensive knowledge of broker dealer operations and regulatory requirements
Proven track record of leading and developing risk professionals (typically 5+ years of management experience) across enterprise, operational, technology, and/or financial risk disciplines
Deep expertise in risk management frameworks including RCSAs, risk committee governance, and regulatory examination readiness
Exceptional written communication skills with the ability to produce clear, concise, regulatory-grade documentation and executive-level reporting
Collaborative, analytical self-starter who can influence senior stakeholders, drive alignment, and execute in a fast-paced, high-growth environment
Experience leveraging data analytics tools and reporting solutions to synthesize risk information, build risk dashboards, and present data-driven insights to senior management and risk committees
Demonstrated curiosity and comfort engaging with AI tools and emerging technologies, with a forward-looking perspective on applying AI capabilities to enhance risk monitoring, reporting, and oversight workflows