Risk Manager
New
A
Atomic VestFintech
Candidates must be based in the US or LATAM in the Americas Timezone (GMT-3 to GMT-8), Americas Timezone (GMT-3 to GMT-8)Full-TimeManager
Salary not disclosed
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Job Details
- Languages
- Advanced-level English for cross-team collaboration
- Experience
- 2–5 years of experience in risk management, internal controls, or a related function
- Required Skills
- Microsoft ExcelRisk Management
Requirements
- Have 2–5 years of experience in risk management, internal controls, or a related function.
- Bring experience in fintech, banking, brokerage, or RIA environments.
- Have working knowledge of broker-dealer financial responsibility rules, including SEC net capital and customer protection rules.
- Understand operational, credit/counterparty, and liquidity risk concepts.
- Have strong analytical skills and proficiency in Excel or similar tools.
- Use advanced-level English for cross-team collaboration.
- Experience with NetSuite or another ERP is helpful.
- External or internal audit experience, or experience at a regulatory agency such as FINRA, SEC, or a banking regulator, is a plus.
- Professional certification such as FRM, CPA, CIA, or CRCM is a plus.
Responsibilities
- Build the enterprise risk framework, risk appetite, and policies, initially focusing on the broker-dealer entity.
- Monitor broker-dealer financial risks, including net capital, liquidity, and clearing-related exposures.
- Assess bank, clearing firm, and vendor counterparty risk using risk ratings, KRIs, and re-review triggers.
- Run periodic enterprise risk assessments and maintain the risk register across the broker-dealer, RIA, and technology entities.
- Build and maintain risk and control matrices; work with process owners to design and test preventive and detective controls.
- Lead root-cause analysis, track issue remediation to validated closure, and escalate potential reportable events.
- Review new products, entities, and markets for risk before launch and recommend controls.
- Build controls for planned self-clearing and ATS business lines, including reserve computations, net capital monitoring, reconciliations, and Reg ATS obligations.
- Prepare risk reporting for senior management and the Risk Committee, and support audits and regulatory examinations.
- Maintain the business continuity plan and run tabletop exercises with Technology.
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