Qualifications

• Bachelor's degree in Finance, Economics, Accounting, Risk Management or related; Master’s degree is an advantage

• Professional Certification (Financial Risk Manager, Certified Risk Manager, Certified Compliance Professional or AML certifications) is a plus.

• At least 3 years of experience in a brokerage firm, investment company, or financial institution

• Experience in online trading operations is highly preferred

• Exposure to margin trading, leverage products, or derivatives is an advantage

• Experience working within an SEC-regulated environment

• Strong understanding of trading systems and market risk metrics

• Knowledge of compliance reporting and regulatory frameworks

• Strong analytical and documentation skills

• Ability to interpret regulatory circulars and implement policies effectively

• High integrity and ethical standards

• Strong independent judgment

• Detail-oriented and highly organized

• Ability to work under pressure and manage regulatory timelines

• Strong communication and cross-functional coordination skills

Key responsibilities

Trading & Market Risk Oversight

• Monitor trading exposure, margin levels, leverage, and concentration risks

• Enforce risk limits and escalation procedures

• Review unusual trading activity and turnover metrics for managed strategies

Regulatory Compliance & Governance

• Ensure compliance with SRC, SEC regulations, AMLA, KYC, and Data Privacy laws

• Monitor licensing of Associated Persons

• Prepare regulatory reports and coordinate audits and inspections

Operational Risk & Internal Controls

• Identify trading and system vulnerabilities

• Strengthen cybersecurity and access controls with IT

• Maintain internal risk policies and support business continuity planning

Risk Reporting & Advisory

• Provide risk reports to Senior Management

• Maintain risk registers and compliance logs

• Recommend policy improvements and define risk appetite guidelines