Job Description

Job Description

Director, Non-Financial Risk – Capital Markets

New York, NY

A leading global financial institution is seeking a Director of Non-Financial Risk to provide independent risk oversight across its Capital Markets businesses, covering Fixed Income and Equities. This individual will partner with senior business leaders, Business COOs, and control functions to strengthen the firm's risk framework, challenge existing controls, and ensure alignment with regulatory expectations and risk appetite.

Key Responsibilities:

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• Serve as the primary Second Line of Defense (2LoD) Non-Financial Risk coverage lead for Capital Markets.
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• Provide independent oversight and effective challenge across Fixed Income and Equities businesses.
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• Assess risks associated with trade execution, supervision, market conduct, trade processing, technology, data quality, and operational resiliency.
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• Evaluate control effectiveness, oversee issue remediation, and ensure timely escalation of material risk events and control gaps.
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• Advise on risk implications related to new products, business growth, strategic initiatives, and organizational changes.
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• Develop risk assessments, emerging risk analysis, and governance materials for senior management and risk committees.
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• Enhance risk management frameworks, including RCSAs, KRIs, risk event management, and control monitoring.
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Qualifications:

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• 10+ years of experience in risk management, compliance, internal audit, or Front Office controls within financial services.
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• Strong understanding of Capital Markets, including Fixed Income and/or Equities trading, sales, financing, and derivatives.
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• Knowledge of the end-to-end trade lifecycle, from execution and trade capture through confirmation, settlement, and post-trade processing.
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• Experience with non-financial risk frameworks, operational risk, conduct risk, technology risk, and regulatory compliance.
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• Proven ability to influence senior stakeholders, provide effective challenge, and drive risk management improvements.
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• Strong analytical, communication, and relationship-building skills.
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Ideal candidates will bring a combination of Capital Markets product knowledge, Front Office operating model expertise, and experience overseeing non-financial risk within an investment bank or broker-dealer.

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