Chief Risk Officer- New York Broker-Dealer

Develop and drive to completion processes for oversight and quality control of all brokerage operations functions. Implement risk monitoring, establish key risk indicators, and perform independent reviews and stress testing. Design policies and control frameworks, assess new products or business changes, and provide a second line of defense challenge to front-office risk management. Identify and manage risks to the organization, employees, stakeholders, assets, and operations; set up frameworks to identify, rate, and prioritize issues. Be the primary owner for Risk and Control Self-Assessment, internal testing, and due diligence for onboarding and offboarding of correspondents. Research incidents, document resolutions, and recommend policy changes. Provide guidance and training to promote risk control awareness, and monitor risks including losses from unsecured debits. Report progress to Alpaca leadership monthly and present findings to the Risk and Controls Committee.