Jacksonville, FL · On-site
Direct working knowledge of SEC Rule 15c3-5 and pre-trade risk control frameworks (required) * Familiarity with front office Order Management Systems (OMS) and how limit checks integrate with trading ...
Jacksonville, FL · On-site
Direct working knowledge of SEC Rule 15c3-5 and pre-trade risk control frameworks (required) * Familiarity with front office Order Management Systems (OMS) and how limit checks integrate with trading ...
Miami, FL · On-site
... of risk management programs. Additionally, this employee monitors and coordinates risk control ... Conduct additional investigation and assist with discovery requests as directed. * Provides ...
Miami, FL · On-site
... of risk management programs. Additionally, this employee monitors and coordinates risk control ... Conduct additional investigation and assist with discovery requests as directed. * Provides ...
Miami, FL · On-site
... of risk management programs. Additionally, this employee monitors and coordinates risk control ... Conduct additional investigation and assist with discovery requests as directed. * Provides ...
Miami, FL · On-site
... of risk management programs. Additionally, this employee monitors and coordinates risk control ... Conduct additional investigation and assist with discovery requests as directed. * Provides ...
WORK EXPERIENCE Practical experience with risk and control management in an audit, accounting, risk ... have a direct, adverse and negative relationship potentially resulting in the withdrawal of ...
WORK EXPERIENCE Practical experience with risk and control management in an audit, accounting, risk ... have a direct, adverse and negative relationship potentially resulting in the withdrawal of ...
$210 - $280/hr
Advise the Board of Directors on annual updates and appropriate risk tolerance limits, clearly ... Create targeted strategies to reduce or control risk exposure. Monitor and report on risk ...
$210 - $280/hr
Advise the Board of Directors on annual updates and appropriate risk tolerance limits, clearly ... Create targeted strategies to reduce or control risk exposure. Monitor and report on risk ...
WORK EXPERIENCE • Practical experience with risk and control management in an audit, accounting ... have a direct, adverse and negative relationship potentially resulting in the withdrawal of ...
WORK EXPERIENCE • Practical experience with risk and control management in an audit, accounting ... have a direct, adverse and negative relationship potentially resulting in the withdrawal of ...
Tampa, FL · On-site
Being a member of IT FinSight Delivery team, a IT ERM Director has primary responsibility for ... and Center of Excellence functions), other risk & control functions (e.g., Internal Audit ...
Tampa, FL · On-site
Being a member of IT FinSight Delivery team, a IT ERM Director has primary responsibility for ... and Center of Excellence functions), other risk & control functions (e.g., Internal Audit ...
In-Business Risk & Control Location: Buffalo & Tampa | Grade: C14 - Senior Vice President | Job ... The breadth, depth and strength of our sales and trading, distribution and research capabilities ...
In-Business Risk & Control Location: Buffalo & Tampa | Grade: C14 - Senior Vice President | Job ... The breadth, depth and strength of our sales and trading, distribution and research capabilities ...
$137.02 - $205.52/hr
Prepare and present comprehensive risk reports to the Board of Directors, Risk Committee, and ... external stakeholders as required. Stakeholder Collaboration Work closely with the Compliance ...
$137.02 - $205.52/hr
Prepare and present comprehensive risk reports to the Board of Directors, Risk Committee, and ... external stakeholders as required. Stakeholder Collaboration Work closely with the Compliance ...
$95.67 - $130.98/hr
Advise the Board of Directors on annual updates and appropriate risk tolerance limits, clearly ... Create targeted strategies to reduce or control risk exposure. Monitor and report on risk ...
$95.67 - $130.98/hr
Advise the Board of Directors on annual updates and appropriate risk tolerance limits, clearly ... Create targeted strategies to reduce or control risk exposure. Monitor and report on risk ...
The Director of Payments & Risk owns that mission end to end: the fraud defense strategy, the AI ... control and post-change monitoring. * Own the chargeback and dispute program economics ...
Quick apply
The Director of Payments & Risk owns that mission end to end: the fraud defense strategy, the AI ... control and post-change monitoring. * Own the chargeback and dispute program economics ...
Being a member of IT FinSight Delivery team, An IT ERM Associate Director has primary ... Monitor and escalate key matters of risk and control. * Support IT management in maintaining a ...
Being a member of IT FinSight Delivery team, An IT ERM Associate Director has primary ... Monitor and escalate key matters of risk and control. * Support IT management in maintaining a ...
Being a member of IT FinSight Delivery team, the IT ERM team the Associate Director is primarily ... Monitor and escalate key matters of risk and control. * Support IT management in maintaining a ...
Being a member of IT FinSight Delivery team, the IT ERM team the Associate Director is primarily ... Monitor and escalate key matters of risk and control. * Support IT management in maintaining a ...
The Business Risk and Control Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own ...
The Business Risk and Control Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own ...
$173.07 - $242.30/hr
... of Risk, based in Malta, to lead risk management across the European Economic Area (EEA). This is a ... The role combines strategic oversight with hands-on execution, including direct engagement with ...
$173.07 - $242.30/hr
... of Risk, based in Malta, to lead risk management across the European Economic Area (EEA). This is a ... The role combines strategic oversight with hands-on execution, including direct engagement with ...
FL · On-site
The Manager will assist the Director of Risk Management in putting plans in place to mitigate, remediate any incident and decide the best ways to proactively avoid, reduce, mitigate or transfer risk.
FL · On-site
The Manager will assist the Director of Risk Management in putting plans in place to mitigate, remediate any incident and decide the best ways to proactively avoid, reduce, mitigate or transfer risk.
The Director of Quality, Risk & Safety provides strategic leadership and oversight of enterprise clinical quality, patient safety, and clinical risk management programs across United Vein & Vascular ...
The Director of Quality, Risk & Safety provides strategic leadership and oversight of enterprise clinical quality, patient safety, and clinical risk management programs across United Vein & Vascular ...
The Director of Quality, Risk & Safety provides strategic leadership and oversight of enterprise clinical quality, patient safety, and clinical risk management programs across United Vein & Vascular ...
The Director of Quality, Risk & Safety provides strategic leadership and oversight of enterprise clinical quality, patient safety, and clinical risk management programs across United Vein & Vascular ...
Continue development of a cohesive control framework and risk appetites in local entities. Lead annual Own Risk and Solvency Assessment (ORSA) reporting and support regulatory inquiries and requests.
Continue development of a cohesive control framework and risk appetites in local entities. Lead annual Own Risk and Solvency Assessment (ORSA) reporting and support regulatory inquiries and requests.
Tampa, FL · On-site
$120 - $150/hr
... risk/control assurance function, positively influence continuous improvement of the changing risk/control environment and recruit and enhance quality individuals to be utilized in the various ...
Tampa, FL · On-site
$120 - $150/hr
... risk/control assurance function, positively influence continuous improvement of the changing risk/control environment and recruit and enhance quality individuals to be utilized in the various ...
| Aspect | Director Of Risk Control | Risk Analyst |
|---|---|---|
| Credentials | Bachelor's degree, often advanced certifications (e.g., ARM, CPCU) | Bachelor's degree, often certifications like CRM or FRM |
| Work Environment | Strategic planning, leadership, cross-department collaboration | Data analysis, risk assessment, report preparation |
| Employer & Industry | Insurance, finance, large corporations | Insurance, finance, consulting firms |
| Search & Comparison Intent | Understanding leadership roles in risk management | Analyzing risk data and assessments |
The main difference is that the Director Of Risk Control oversees risk management strategies and leads teams, while a Risk Analyst focuses on analyzing data to identify and assess risks. The director has broader responsibilities and strategic oversight, whereas the analyst is more involved in data-driven risk evaluation.
Full-time
Posted 18 days ago
We are seeking an Assistant Vice President to join our Credit Risk Control function, supporting the firm's broker-dealer's trading activities with Counterparties. This role is central to ensuring the firm's pre-trade and post-trade risk controls comply with SEC Rule 15c3-5 (the Market Access Rule) and internal risk appetite, working closely with Technology, Compliance, and Trading Desk stakeholders.
3-4 years of experience in credit risk, market risk, or risk control functions at a broker-dealer, bank, or trading firm
Direct working knowledge of SEC Rule 15c3-5 and pre-trade risk control frameworks (required)
Familiarity with front office Order Management Systems (OMS) and how limit checks integrate with trading workflows (required)
Familiarity with FINRA rules related to supervision of algorithmic trading and market access (e.g., Rule 3110, guidance on effective supervisory procedures)
Understanding of counterparty credit risk concepts: exposure measurement, margin/collateral, netting, and limit-setting methodologies
Experience with electronic trading infrastructure or FIX protocol a plus
Strong SQL/Python/Excel/Power BI skills for data analysis and control monitoring
Bachelor's degree in Finance, Economics, Mathematics, or related field; relevant certifications (FRM, CFA) a plus
Excellent communication skills; ability to work cross-functionally with Trading, Technology, Compliance, and Legal
#LI-PM1
Own and monitor daily credit and capital thresholds under SEC Rule 15c3-5, including client-level, desk-level, and aggregate market access limits
Design, calibrate, and periodically review pre-trade risk controls (order size, notional, price collar, message rate, and erroneous order checks) in coordination with electronic trading and technology teams
Investigate limit breaches, exception reports, and control overrides; escalate material issues per governance protocol
Partner with Compliance on the annual CEO certification process required under 15c3-5, including documentation of control effectiveness testing
Support onboarding of new clients/counterparties by setting risk-based credit limits and market access parameters
Monitor counterparty exposure (gross and net), margin/collateral sufficiency, and concentration risk across products
Produce regular MI/reporting for senior management, Risk Committee, and regulators (FINRA, SEC) on market access control performance
Contribute to control enhancement projects, including automation of limit monitoring and real-time surveillance tooling
Stay current on regulatory developments affecting market access, algorithmic trading controls, and broker-dealer risk management
Provide Reporting on limit usage, reporting on breaches and escalation to Senior management
