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First Line Risk Director - Capital Markets


Boston, Massachusetts; Charlotte, North Carolina; New York, New York; Stamford, Connecticut

Req. Number: 225736

Full/Part Time: F

Shift: 1st Shift


As the Director First Line Risk for Capital Markets, you will represent the First Line of Defense and lead the business development and
execution of policies and procedures that mitigate various types of risk at CFG in its capital markets and investment banking businesses- including its debt (securities and loan) and equity capital markets, mergers and acquisitions advisory, and valuation advisory businesses. You will partner with the business and serve as a liaison, interfacing with business leaders to drive meaningful conversations on end-to-end risk and compliance policies within their function, strategize on solutions and mitigation activities, and develop remediation plans. You will promote a culture of risk and compliance awareness throughout the bank by supporting the development of training and education on risk policies and practices. You will provide leadership, expertise, and guidance to your team to design, implement, and influence internal governance processes and controls. You will be accountable for ensuring your team isin compliance with all applicable regulatory requirements, and work in conjunction with stakeholders in broker-dealer compliance to minimize potential compliance and regulatory risk. Additionally, this role will have complete oversight of pilot programs, products, and strategies related to new initiative and corporate acquistions in the investment banking and capital markets areas.

This role will also have responsibility for supervision of a team of Senior Risk Managers and Risk Managers focused on the capital markets and advisory business lines.


  • 12+ years experience in Risk Management or Compliance functions related to investment banking and capital markets activities in an institutional broker-dealer setting.
  • Prior experience implementing and supporting enterprise wide Risk programs
  • Demonstrated negotiation skills; including the ability to influence through use of compelling facts, thought-provoking discussion and logic.
  • Deep Knowledge and understanding of regulatory and legislative guidelines, in particular SEC and FINRA regulations relevant to institutional broker-dealer activities
  • Extensive experience managing projects including planning, implementation, and reporting
  • Proven relationship management skills, strong track record of ability to build trust and credibility through, communication, actions and presence.
  • Extensive leadership skills including influencing without direct management support.
  • Proven ability to work in a fast-paced environment with competing and changing priorities.
  • Excellent communications skills, both written and verbal.

Education:  Bachelor's degree required

Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.


We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more.

View Benefits

Awards We've Received


Human Rights Campaign Best Places to Work for LGBTQ Equality


Dave Thomas Foundation Best Adoption-friendly Workplace


Noteworthy Company for Diversity


Military Friendly Employer

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