Chief Risk Officer - Managing Director

The role

The Chief Risk Officer will lead the newly created second line of defense by integrating regulatory, compliance, enterprise risk, and safety functions. This leader will be accountable for enterprise-wide risk management, regulatory compliance, and safety and resilience programs.

What you will do

• Oversee global regulatory compliance across U.S., Canada, UK, Europe, and APAC jurisdictions.
• Provide leadership on regulatory requirements for alternative investments and structured products.
• Oversee regulatory registrations, licensing, and obligations with SEC, FINRA, and international authorities.
• Develop and maintain scalable policies, procedures, training, and controls.
• Serve as the senior executive representative for regulatory examinations, audits, and inquiries.
• Ensure effectiveness of controls for AML, KYC, sanctions, and financial crime risks.
• Design and execute the enterprise risk management framework.
• Provide oversight through Board-level and corporate risk management committees.
• Partner with Finance, Technology, Legal, and Operations to strengthen internal controls.
• Maintain business continuity, disaster recovery, and incident management frameworks.

Required qualifications

• 15+ years of senior leadership experience in risk management, compliance, or governance within financial services, fintech, asset management, broker-dealer, or investment advisory environments
• Deep, hands-on experience with alternative investments, including regulatory treatment, product structure, and distribution considerations
• Demonstrated executive accountability for AML, KYC, sanctions, customer due diligence, financial crimes compliance, and broader regulatory compliance programs operating across multiple jurisdictions
• Proven ownership of regulatory compliance in highly regulated environments, including direct interaction with regulators and responsibility for examinations and audits
• Demonstrated success designing and operating enterprise risk management frameworks in complex, multi-jurisdictional organizations
• Strong knowledge of U.S. securities regulation (SEC, FINRA, Advisers Act, Investment Company Act), AML and financial crimes requirements (Bank Secrecy Act, USA PATRIOT Act, OFAC), and familiar with in
• Credible, confident leader with the judgment and independence to challenge constructively and advise senior leadership and the Board
• Able to translate complex regulatory and risk concepts into practical, scalable solutions aligned with business strategy
• Proven track record building and leading large, global teams and influencing outcomes across complex matrixed organizations
• Strong executive presence, strategic mindset, and demonstrated ability to balance risk management objectives with commercial growth priorities
• Bachelor’s degree required

Nice to have

• Advanced degree (JD, MBA, or equivalent)
• Professional certifications (FRM, CRCMP, CFA, CPA, CAMS)

Benefits

• Salary
• Equity for all full-time employees
• Annual performance bonus
• Employer matched retirement plan
• Generously subsidized healthcare
• 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
• Parental leave
• Unlimited paid time off (PTO)

About the company

iCapital is an Equal Employment Opportunity and Affirmative Action employer.