Managing Director, Business Risk Management Executive, Wealth Custody & Clearing

About the Company

Expanding provider of investment management, research & trading services

Industry Financial Services

Type Public Company

Founded 1792

Employees 10,001+

Categories

Financial Services Investment Management Consulting & Professional Services B2B Asset Management Boston Finance Insurance Publicly Traded Angel Investment Banking

Specialties

investment management custodian etf financial products fund accounting relationship management research trading and investment servicing

Business Classifications

B2B

About the Role

The Company is in search of a Business Risk Management Executive with a focus on Wealth Custody and Clearing. The successful candidate will serve as the primary FINRA compliance Subject Matter Expert for the development and ongoing supervision of an introducing broker-dealer. This pivotal role involves leading the design, implementation, and enhancement of the compliance program to ensure strict adherence to FINRA, SEC, and other relevant regulatory frameworks. The BRME will be responsible for all aspects of the business's compliance, including serving as the main point of contact for regulatory matters, leading the response to examinations and audits, and proactively monitoring and updating compliance programs to address new requirements. The role also requires the ability to advise executive leadership on compliance risks, conduct risk assessments, and oversee the remediation of control gaps.

Candidates for this role at the company should possess deep, hands-on expertise in FINRA and SEC regulations, broker-dealer compliance, and risk management, ideally gained from experience in G-SIFI organizations, broker-dealers, or large public accounting firms. Strong critical thinking, problem-solving, and decision-making skills are essential, as is the ability to identify and communicate risk and control themes to senior management. The ideal candidate will have a proven track record as a FINRA compliance SME, including direct involvement in the build, registration, and oversight of an introducing broker-dealer. A background in global leadership, industry certifications, and experience with risk assessments and control design are also key qualifications. The role demands a leader with the ability to collaborate across multiple stakeholders and a strong focus on regulatory compliance and broker-dealer operations.

Hiring Manager Title COO

Travel Percent Less than 10%

Functions

Finance Business Development Strategy