Job Description

Director - Sales and Trading Risk Manager – Liquidity Risk and Controls

Director - Sales and Trading Risk Manager – Liquidity Risk and Controls

7 hours ago Be among the first 25 applicants

• Monitor and assess credit exposure across trading counterparties, particularly in equity lending, execution, and clearing services.
• Conduct financial and credit reviews of counterparties; develop and maintain robust risk mitigation strategies.
• Deliver regular reports and early-warning alerts to stakeholders on counterparty risk trends.

Liquidity Stress Testing & Risk Management

• Design, perform, and refine liquidity stress testing in accordance with FINRA, SEC, OCC, and DTCC guidelines.
• Interpret test results, propose enhancements to liquidity frameworks, and communicate implications to executive leadership.
• Collaborate with treasury and finance teams to ensure adequate liquidity buffers are maintained.
• Define, monitor, and adjust trading limits in alignment with regulatory requirements and internal risk appetite.
• Enable real-time surveillance of trading activity, ensuring prompt escalation and resolution of threshold breaches.
• Partner closely with front-office teams to balance risk controls with business enablement.

Policy Development & Internal Controls

• Lead the drafting, implementation, and maintenance of risk control policies and procedures.
• Align internal frameworks with regulatory expectations and industry best practices (FINRA, SEC, OCC, NSCC).
• Conduct firmwide training and awareness sessions to promote a culture of proactive risk management.

Regulatory Compliance & Examinations

• Act as the firm’s point person for risk-related regulatory audits, inquiries, and examinations.
• Prepare, review, and submit timely regulatory filings and disclosures.
• Collaborate with legal and compliance teams to address findings, close out issues, and implement sustainable fixes.

Seniority level

• Seniority level

  Director

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

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