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 broker‑dealer–regulated activities across Financial Solutions, Portfolio Solutions, and adjacent Markets businesses. This role operates in a high‑velocity trading environment and partners closely with Front Office, Operations, Technology, Compliance, and Legal to ensure a strong, regulator‑ready 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 risk management, regulatory compliance, and operational resiliency.

Key Responsibilities

Business & Trading Environment Risk Leadership

• Provide first‑line risk advisory coverage for Financial Solutions and Portfolio Solutions, including products operating within a broker‑dealer, prime brokerage and trading environment

• Partner with trading desks, sales, product, and portfolio solutions teams to identify, assess, and mitigate risks across trade execution, lifecycle management, financing, collateral, valuation, and reporting

• Act as a credible risk partner to Front Office leadership, with the ability to challenge constructively while enabling responsible business growth

Broker‑Dealer & Regulatory Risk

• Support 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

• Valuation, P&L, and regulatory reporting

• 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

Required Experience & Qualifications

• 10+ years of experience in financial services, with direct exposure to broker‑dealer or trading environments

• Demonstrated experience supporting trading desks

• 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

Preferred Experience

• Background in Markets Risk, Business Risk Management, Compliance, or Operational Risk supporting trading or financing businesses

• Exposure to agency execution trading, agency and principal securities lending, secured financing, FX, or multi‑asset trading environments

• Experience partnering with technology teams on control design and system change initiatives

• Prior leadership or people‑management experience preferred

Why This Role Is Important

Financial Solutions and Portfolio Solutions operate at the intersection of trading, financing, and client delivery, where regulatory scrutiny, operational complexity, and commercial pressure converge. This role ensures the business can grow responsibly, innovate confidently, and operate with a resilient and regulator‑ready control environment.