Chief Risk Officer
Social Capital Resources LLCCharlotte, NC
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Overview
Remote
On-site
Job Description
Chief Risk Officer (CRO)
A leading independent financial services firm is seeking an experienced Chief Risk Officer (CRO) to lead enterprise risk management across its broker-dealer and investment advisory businesses. This executive will partner closely with senior leadership to strengthen the firm's risk framework, regulatory compliance, and governance practices.
Responsibilities
- Lead and enhance the firm's Enterprise Risk Management (ERM) framework.
- Develop and maintain enterprise-wide risk policies, procedures, and controls.
- Serve as a key member of executive leadership and governance committees.
- Oversee market, credit, liquidity, operational, technology, cybersecurity, and compliance risk.
- Monitor enterprise risk exposures and recommend mitigation strategies.
- Ensure compliance with SEC, Client, and other regulatory requirements.
- Prepare and present risk reporting to executive leadership and the Board.
- Foster a strong culture of risk awareness and accountability across the organization.
Qualifications
- Bachelor's degree in Finance, Accounting, Business, Engineering, or a related field.
- 15+ years of progressive risk management experience within financial services.
- Deep expertise in enterprise risk, regulatory compliance, and governance.
- Experience interacting with executive leadership, regulators, and board-level stakeholders.
- Strong knowledge of broker-dealer and/or investment advisory operations.
- Current Client Series 7, 24, and 57 registrations (or the ability to obtain them).
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FAQs About Chief Risk Officer Jobs at Social Capital Resources LLC
What is the work location for this position at Social Capital Resources LLC?
This job at Social Capital Resources LLC is located in Charlotte, NC, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at Social Capital Resources LLC?
Employer has not shared pay details for this role.
What employment applies to this position at Social Capital Resources LLC?
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