Markets Business Risk Advisor, Financing and Portfolio Solutions, Vice President

Markets Business Risk Advisor, Financing and Portfolio Solutions, Vice President

Markets Business Risk Advisor, Financing and Portfolio Solutions, Vice President

Role Overview 

The Markets Business Risk Advisor, Financing and Portfolio Solutions, Vice President will serve as a senior Business Risk and Control leader supporting regulated activities across Financing Solutions, Portfolio Solutions, and adjacent Markets businesses. This role  partners closely with Front Office, Operations, Technology, Compliance, and Legal to ensure a strong, regulator‑ready non-operational risk and control framework across trading, financing, and post‑trade activities. 

The VP will act as a trusted advisor to senior business leadership, balancing commercial objectives with disciplined non-financial risk management, regulatory compliance, and operational resiliency. 

Key Responsibilities 

Business & Trading Environment Risk Leadership 

• Serve as a Culture Champion for Risk Excellence by leading regular business unit aligned Risk Forums, identifying emerging risks, supporting self-identification of issues, recognizing training needs and operating as the primary point of escalation for any non-financial risk concerns in the business unit.
• Lead business unit applicable risk assessments, operational key risk indicator (ORKI) identification and oversight and resulting control design and implementation activities.
• Act as a credible risk partner to Front Office leadership, with the ability to challenge constructively while enabling responsible business growth.

Regulatory Risk 

• Support operational risk management for activities subject to SEC, FINRA, Federal Reserve, and global broker‑dealer regulatory frameworks 

• Advise on control design and effectiveness related to: 

• Trade execution and booking 

• Market conduct and surveillance 

• Margin, collateral, and financing activities 

• Lead responses to regulatory exams, audits, and internal reviews affecting Financial Solutions and Portfolio Solutions 

Control Framework & Issue Management 

• Design, enhance, and oversee end‑to‑end control frameworks across front‑to‑back trading and financing processes 

• Own or support remediation of control gaps, operational risk incidents, and regulatory findings, ensuring sustainable and well‑documented solutions 

• Partner with Operations and Technology to assess control impacts from system changes, new products, and process transformations 

Portfolio & Change Advisory 

• Provide risk input into new product approvals, business expansions, and strategic change initiatives 

• Evaluate operational readiness, scalability, and risk implications of new trading models, financing structures, or portfolio solutions 

• Translate complex risk concepts into clear, decision‑ready guidance for senior stakeholders 

Leadership & Stakeholder Management 

• Build strong relationships with senior leaders across Markets, Financial Solutions, Portfolio Solutions, Compliance, Legal, Technology, and Operations 

• Contribute to governance forums, risk committees, and senior management discussions 

• Mentor junior risk professionals and promote a culture of risk excellence and accountability 

Preferred Experience & Qualifications 

• 10+ years of experience in financial services, with experience in a securities finance, equity total return swaps, or trading execution businesses.
• Good knowledge or experience of working in risk, compliance and/or audit functions within the financial

• Strong understanding of: 

• Trade lifecycle and market infrastructure 

• Broker‑dealer regulatory expectations 

• Front‑to‑back operational and control processes 

• Proven ability to operate effectively with Front Office stakeholders and senior leadership 

• Experience managing regulatory exams, audits, or control remediation within a markets or broker‑dealer context 

• Excellent written and verbal communication skills, with the ability to influence at senior levels