GENERAL ENQUIRIES

The Enterprise Risk Management (ERM) Analyst reports directly to the Head of Enterprise Risk and is responsible for providing independent oversight and constructive challenge regarding risks across the organization. This role supports the implementation of the operational risk framework, including activities such as risk and control assessments, control testing, exposure monitoring, issue and action management, key risk indicators, scenario analysis, and business continuity planning. The Analyst also identifies organization-wide risk issues, monitors risk profiles to ensure alignment with the established risk appetite, facilitates escalation processes, supports accurate governance reporting, and assists business units in identifying and reporting incidents promptly.Essential Duties & Responsibilities• Risk Assessment:Conduct analyses of the organization’s credit, liquidity, interest rate, and capital risk exposures, utilizing stress testing and scenario analysis for thorough evaluation.• Risk Mitigation:Implement mitigation strategies and action plans to reduce the impact of identified risks across key risk categories.• Policy Development:Develop and maintain risk management policies and procedures aligned with regulatory expectations and industry best practices.• Monitoring & Reporting:Track risk exposures and prepare regular reporting for senior leadership. Contribute to the development of key performance and key risk indicators.• Toolset Administration:Administer governance, risk, and compliance (GRC) systems to support activities such as issue/action management, risk assessments, and control testing.Skills, Education & Experience Requirements• High school diploma or GED required; bachelor’s degree preferred.• 3–7 years of experience in risk management within financial services, with specialization in one or more areas: credit, liquidity, market, or enterprise risk.• Strong understanding of risk management principles, regulatory frameworks, and industry best practices.• Advanced proficiency in risk management systems and tools, including Microsoft Excel, Word, PowerPoint, Power BI, and similar platforms.• Ability to produce and interpret complex Excel reports to monitor trends, variances, and exceptions.• Strong analytical, problem-solving, and decision-making skills.• Excellent written and verbal communication skills, with the ability to engage effectively across the organization.

VP – Compliance Business Partner, FIC Sales & Trading |📍 New York, NY (Hybrid) | 💼 Vice President Level | 🕒 Full-Time | 📅 Start: August/September 2025A global financial institution is looking to hire a Compliance Business Partner to support its Fixed Income & Currencies (FIC) Sales & Trading business, with a primary focus on credit products. This is a high-impact VP-level role working directly with front-office trading and sales teams, offering a rare opportunity to influence the compliance culture and risk framework of a major markets division.What You'll Be DoingAct as the first point of contact for compliance advisory within credit trading and sales.Monitor regulatory developments and help the business adapt policies, controls, and processes in line with market regulations (SEC, FINRA, CFTC, MSRB).Participate in and lead internal risk assessments, surveillance reviews, and compliance testing efforts.Collaborate with stakeholders on control design, policy implementation, and supervisory oversight.Support internal investigations, regulatory inquiries, and audits.Deliver targeted training and guidance to ensure adherence to firm-wide and regulatory standards.Partner with business leaders to proactively identify, assess, and mitigate compliance risks.What You Bring7+ years of compliance, legal, or regulatory advisory experience within capital markets.Strong understanding of fixed income products, particularly credit instruments.Knowledge of broker-dealer regulations and U.S. financial market requirements (SEC, FINRA, CFTC, etc.).Confident communicator with the ability to engage front-office professionals and senior leadership.Bachelor’s degree required; JD or MBA is a plus.What’s On OfferCompetitive compensation: $130,000 – $200,000 base + performance-based incentives.Hybrid working environment – New York-based role with flexibility.Comprehensive benefits including healthcare, retirement plans, wellness initiatives, and paid time off.The opportunity to make a real impact in a high-visibility role on a dynamic trading floor.

Principal Duties and Responsibilities Strategic LeadershipDevelop and implement a comprehensive credit risk management strategy that supports the company’s growth objectives.Monitor industry trends, competitive practices, and regulatory changes to guide strategic decision-making.Collaborate with the executive team to embed credit risk considerations into overall business strategy.Portfolio Performance ManagementDesign and oversee portfolio reports, dashboards, and KPIs to measure portfolio profitability and risk performance.Build and maintain strong cross-functional relationships with Marketing, IT, Legal/Compliance, and other teams to align risk management initiatives with business objectives.Partner with internal risk teams to optimize the efficiency and effectiveness of end-to-end risk programs.Evaluate risk and profitability of new products and marketing channels, recommending and executing strategies to enhance performance.Collaborate with Product and Marketing teams to establish targets for key financial levers, including first-pay defaults, funding rates, acquisition costs, and overall profitability.Innovation and Technology IntegrationLead the adoption of innovative technologies, including AI and advanced data analytics, to strengthen risk assessment processes.Identify opportunities to enhance customer experience and operational efficiency through technology-driven solutions.Team Leadership and DevelopmentLead, mentor, and inspire a high-performing risk management team, fostering a culture of accountability, collaboration, and innovation.Promote professional growth by ensuring access to training and development resources for team members.Regulatory Compliance and GovernanceEnsure all credit risk practices comply with applicable laws, regulations, and industry standards.Work closely with Legal and Compliance teams to develop policies and procedures aligned with best practices and regulatory requirements.Stakeholder EngagementCultivate strong relationships with internal and external stakeholders, including executives, product teams, and regulatory authorities.Communicate credit risk strategies, insights, and recommendations to the board and senior leadership clearly and persuasively.Experience and EducationMaster’s degree in Finance, Business Administration, Economics, or a related field; PhD preferred.Minimum of 10 years of experience in credit risk management, preferably in financial services or online lending.Proven track record of strategic leadership and delivering high-impact initiatives.Deep expertise in credit risk modeling, including machine learning and advanced analytics techniques.Comprehensive knowledge of regulatory requirements and best practices in credit risk management.

Executive Vice President, Head of Risk As EVP, Head of Risk, you will be the architect of the enterprise risk strategy—owning credit risk, model governance, compliance oversight, and the integration of data science with business strategy. You’ll lead a dynamic team of credit analysts and quantitative specialists while partnering closely with executive leadership to shape everything from pricing models to securitization strategies. Your mission: safeguard the business, unlock opportunity, and future-proof the company’s risk posture as it scales. This is an on-site position. Key Responsibilities Risk Strategy & ExecutionLead credit risk, decision science, and compliance strategy across the full consumer loan lifecycle.Drive portfolio performance and pricing optimization through advanced analytics, robust modeling, and data-backed insights.Partner with finance and capital markets on structured finance, securitizations, and warehouse lending.Team LeadershipOversee and expand a team of 8–15 professionals across Credit Risk and Quantitative Risk.Foster a high-performance culture grounded in accountability, innovation, and collaboration.Serve as a key member of the executive leadership team, reporting directly to senior management.Technology & InnovationImplement AI and machine learning models to enhance underwriting, fraud detection, and servicing.Champion automation, dashboarding, and predictive analytics to modernize the risk function.Govern model development and validation with rigor aligned to regulatory and investor expectations.Governance & Stakeholder EngagementDesign and enforce the organization’s Three Lines of Defense framework.Lead internal risk committees and represent the risk function to external stakeholders (investors, auditors, regulators).Translate complex analytics into actionable executive-level insights and recommendations.Qualifications10+ years in credit risk, structured finance, or quantitative analytics, ideally within consumer lending or auto finance.Proven experience in subprime or near-prime markets, credit modeling, and risk-based pricing.Executive-level communication skills with the ability to bridge technical and strategic discussions.Strong technical background with familiarity in machine learning, predictive modeling, and risk technology platforms.Preferred credentials: FRM, CFA, CPA, or advanced degree in Finance, Economics, Statistics, or Data Science.

Third Party Risk ManagerThe Third-Party Risk Manager will be responsible for designing, implementing, and leading a best-in-class framework to manage vendor and third-party relationships across the organization. This role will oversee the full lifecycle of third-party risk management, from onboarding and due diligence to monitoring, reporting, and offboarding.This role can be based in a number of locations across the US including New York, Texas, Boston, Chicago, Charlotte, AustinKey Responsibilities:Design and implement a comprehensive third-party risk management framework, encompassing vendor identification, evaluation, contracting, monitoring, and reporting.Own the end-to-end third-party lifecycle process, including onboarding, risk tiering, contract reviews, ongoing monitoring, and exit strategies.Partner with first-line business units to provide guidance and oversight during third-party assessments, embedding sound risk practices and recommending effective controls.Manage and respond to third-party related incidents and issues, including escalation and remediation planning.Develop and maintain third-party risk policies, standards, procedures, training materials, key risk indicators (KRIs), and key performance indicators (KPIs).Conduct in-depth reviews of business processes to evaluate control effectiveness and report findings to oversight committees and stakeholders.Lead and document due diligence processes, including questionnaires, risk reviews, and control evaluations.Promote awareness and education around third-party risk management best practices.Ensure quality standards are met in the creation and maintenance of program documentation.Collaborate with Legal, Compliance, and other teams to address regulatory expectations and requirements.Serve as a liaison with auditors, regulators, and other external stakeholders regarding risk management practices and compliance matters.Identify, track, and escalate vendor-related incidents or issues, ensuring timely remediation.Qualifications:7–10 years of experience in third-party risk management, vendor governance, or enterprise risk.Bachelor’s degree in Business, Risk Management, or a related field (advanced degree preferred).Demonstrated experience in developing and managing enterprise-level third-party risk programs.Strong understanding of relevant regulatory frameworks and industry standards.Excellent leadership, communication, and stakeholder management skills.Ability to build and present executive-level reporting, including dashboards, risk heatmaps, and KPI/KRI summaries.Working knowledge of commercial insurance is a plus.Technical Skills:Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).Experience with third-party risk assessment platforms (e.g., OneTrust, AuditBoard).Familiarity with GRC (Governance, Risk & Compliance) systems implementation.

About the Company:Our client is a fast-growing financial technology company providing credit and financial wellness products across the consumer and lending ecosystem. The organization leverages data, analytics, and modern technology to expand responsible access to credit and improve customer experience.Role Overview:The Senior Fraud Analytics Analyst will play a key role in detecting, preventing, and mitigating fraud across the company’s financial products. This individual will leverage data-driven insights, advanced analytics, and modeling to identify patterns of suspicious behavior and implement effective fraud prevention strategies. The role requires close partnership with risk, operations, compliance, and technology teams to develop scalable solutions that protect both customers and the business.Key Responsibilities:Design, implement, and refine fraud detection models, rules, and monitoring systems across multiple products and channels.Conduct deep-dive analytics to identify emerging fraud patterns, trends, and vulnerabilities.Build dashboards, reports, and performance metrics to track fraud losses, detection rates, and operational effectiveness.Partner with data engineering and product teams to improve data pipelines, signal quality, and alert response times.Collaborate with risk and operations to translate analytics into actionable controls, case triage workflows, and policy updates.Use experimentation and model validation to improve detection accuracy and minimize false positives.Stay informed on new fraud tactics, regulatory changes, and best practices in digital fraud prevention.Mentor junior analysts and contribute to the continued development of the fraud analytics function.Qualifications:Required:Bachelor’s degree in Statistics, Mathematics, Data Science, Economics, or a related field.5+ years of experience in fraud analytics, credit risk, or related analytical roles within financial services or fintech.Proficiency in SQL for data manipulation and analysis; strong experience in Python or R for modeling.Demonstrated experience building and maintaining fraud detection models or rules-based systems.Solid understanding of key fraud concepts (application fraud, synthetic identities, chargebacks, transaction monitoring).Strong communication skills with the ability to explain technical findings to non-technical stakeholders.Preferred:Familiarity with fraud prevention platforms, third-party data providers, or digital identity solutions.Experience in lending, payments, or consumer credit environments.Knowledge of big data and cloud analytics tools (e.g., AWS, GCP, Snowflake, Spark).Experience mentoring junior analysts or leading small project teams.What’s on Offer:Opportunity to shape the fraud analytics strategy within a growing fintech organization.Competitive compensation and benefits package.Exposure to advanced data environments and cross-functional collaboration.Supportive culture focused on innovation, analytics, and continuous learning.

AML/CFT Senior Consultant - 2nd Line of Defence Consultancy Dublin - Hybrid Working 55-70k This is your opportunity to join a growing financial crime advisory team. You will work across financial services supporting a range of different clients with their AML/CFT requirements. Your Role: Conduct AML/CFT risk assessments and control reviews.Evaluate policies, procedures, and transaction monitoring frameworks.Draft client reports and present findings.Assist with remediation planning and implementation.Your Role:3–6 years’ experience in AML/CFT, financial crime, or regulatory compliance.Professional qualification (ICA, ACAMS or similar)Strong understanding of AML/CFT frameworksExperience in financial services or consulting in a 2nd line of defence roleIf you want to hear more, apply here or reach out to me directly! darren.hogan@broadgatesearch.com

Risk & Internal Controls Officer We’re looking for someone with depositary experience to strengthen our risk and control environment and support how risks are identified, monitored, and managed across the business. Role Overview You’ll play a key role in maintaining a robust control framework by reviewing processes, performing control testing, and ensuring regulatory and internal obligations linked to depositary activities are consistently met. The role offers strong visibility and close collaboration with key teams across the organisation. Key ResponsibilitiesPerform monitoring and control testing related to depositary oversight and core operational processes.Identify gaps or weaknesses in controls, documentation, or oversight and support teams in implementing corrective actions.Contribute to the oversight of delegates, service providers, and internal functions connected to depositary duties.Enhance testing plans, oversight methodologies, and control frameworks to ensure efficiency and strong risk alignment.Support projects involving regulatory change, governance updates, and improvements to internal risk frameworks.Proactively identify operational or conduct risks and help drive strong outcomes for clients and investors.Skills & ExperiencePractical experience in a depositary environment, with strong understanding of oversight duties for AIFs/UCIs.Background in risk, controls, oversight, audit, or compliance within financial services.Strong analytical ability to assess risks and propose practical, compliant solutions.Confident communication and stakeholder engagement skills, including the ability to challenge constructively.Solid judgement with the ability to navigate issues, conflicts, and remediation work effectively.