Director of Risk Management

Social Capital Resources; Charlotte (NC); On-site; USD 150,000 - 210,000; Full time

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.

Skills

ERM framework

Regulatory compliance

Governance

Executive leadership

Stakeholder communication

Broker-dealer knowledge

FINRA/SEC awareness

Education

Bachelor's degree in Finance, Accounting, Business, Engineering, or related field

Job description

A leading independent financial services firm is seeking an experienced Director of Risk to lead enterprise risk management across its broker-dealer and investment advisory businesses. This role 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, 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.

Qualificati ons

• 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.


• Strong knowledge of broker-dealer and/or investment advisory operations.


• Current FINRA Series 7 (or the ability to obtain).