Director, Enterprise Risk & Regulatory Strategy

Social Capital Resources

Charlotte (NC)

On-site

USD 150,000 - 210,000

Full time

3 days ago

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Job summary

Social Capital Resources is seeking an experienced Director of Risk to lead enterprise risk management across its broker-dealer and investment advisory businesses. The role partners with senior leadership to strengthen risk framework, regulatory compliance, and governance practices.

The incumbent will oversee market, credit, liquidity, operational, technology, cybersecurity, and compliance risk, coordinate with executives and the Board, and drive a culture of risk awareness across the

Qualifications

Bachelor's degree in Finance, Accounting, Business, Engineering, or a related field.
8+ 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.

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, FINRA, 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.