Director of Trading & Risk

8-12 years of experience in trading operations, risk management, or market structure. Experience within a Broker-Dealer, ATS, or digital asset exchange. Requisite FINRA licensing (S7, S24, S55/57 at a minimum). Deep understanding of securities trading workflows (order management, execution, clearing, settlement). Hands-on experience building or managing risk frameworks for trading environments. Strong grasp of regulatory regimes under SEC, FINRA, and NFA. Proven experience leading cross-functional initiatives. Excellent analytical, quantitative, and decision-making skills. Clear communicator experienced engaging regulators, auditors, and executive stakeholders. Experience with tokenized securities, blockchain-based settlement, and smart contract mechanics (preferred). Familiarity with digital asset custody, stablecoins, and on-chain trade reconciliation (preferred). Prior leadership experience in risk, trading, or compliance at a fintech or digital asset firm (preferred). Advanced degree (MBA, MS Finance, or JD) (preferred). Knowledge of modern trading technologies and market data systems (OMS, EMS, risk engines, analytics platforms) (preferred).

Oversee secondary trading activity, execution, clearing, and settlement. Manage relationships with broker-dealer partners, custodians, and liquidity providers. Monitor market performance, spreads, and trade anomalies. Implement policies for trade reporting, order management, and reconciliation. Develop and maintain a risk framework for digital securities trading. Monitor and manage counterparty, issuer, and trading participant exposure. Lead stress testing, liquidity modeling, and scenario analysis. Establish internal thresholds and escalation processes for trading events. Ensure adherence to SEC and FINRA requirements. Maintain policies for audits and regulatory exams. Oversee trade surveillance programs. Serve as a subject matter expert for risk and trading compliance. Collaborate with Engineering and Product teams on trading systems. Partner with Finance on risk, capital, collateral, and treasury operations. Work with Issuer and Client Support teams on market activities. Provide market insights for liquidity strategy and product expansion. Identify opportunities for trading optimization and new market structures. Stay informed of emerging market regulations and technologies.