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Risk Manager


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

Req. Number: 225733

Full/Part Time: F

Shift: 1st Shift


As the First Line Risk Manager, you will represent the First Line of Defense and identify and mitigate potential risks through the identification, management, and mitigation of the risk and controls environment. You will serve as a liaison, interfacing with business partners to drive meaningful reductions in risk. You will provide and direct complex analysis on product and customer strategies to establish risk thresholds.

This role will be responsible for:

  • Proactively reviewing, analyzing, and identifying emerging risks, escalating to the Senior Director/Director of First Line Risk where appropriate.
  • Work with the Senior Director/Director to adhere to internal governance processes and controls for existing and new risk strategies, and provide suggestion for remediation.
  • Lead change control efforts to ensure impacts are appropriately assessed, documented, and implemented.
  • Work closely with Compliance officers to ensure that your team is up to date and in compliance with all applicable regulatory requirements.
  • Play a key role in determining how compliance matters are handled.
  • Will also work with the First Line Risk Manager to initiate investigations into control failures and related issues.
  • Will have some oversight of pilot programs, products, and strategies.


  • 2-5 years experience in Risk Management, Audit, or Compliance, in an investment banking and/or institutional broker-dealer setting
  • Prior experience supporting enterprise-wide Risk programs preferred
  • Experience with Governance, Risk Management, and Compliance (GRC) platforms preferred
  • Experience in managing management information systems and report creation preferred Knowledge and understanding of regulatory and legislative guidelines (SEC/FINRA/FRB/OCC) preferred
  • Experience managing projects including planning, implementation, and reporting preferred
  • Demonstrated interpersonal relationship building skills
  • Ability to work in a fast-paced environment with competing priorities
  • Excellent communications skills, both written and verbal


  • Bachelor’s Degree required
  • APRP certification preferred

Hours and Work Schedule: 3 days in the office, 2 remote

Hours per Week: 40

Work Schedule: Monday-Friday

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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