Operational & Technology Risk Lead

About Us

DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography, wealth, or legacy systems. We are a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices. Our technology provides partners with a modern, extensible toolkit, enabling traditional investment workflows and innovative techniques like fractional share ownership. DriveWealth has evolved into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options.

There’s never been a better time to build a category-defining business and there has rarely been a team better positioned for this opportunity. Our culture blends the pace and agility of a fintech start-up with the impact, stability, and discipline of Wall Street. We encourage creativity and experimentation while ensuring institutional-grade execution and regulatory compliance in everything we do. Join us and help build the future of global investing!

About The Role

Reporting to the Head of Risk Management, the Lead of Operational & Technology Risk owns the enterprise operational and resiliency risk program across a regulated, globally distributed brokerage platform.

This is a builder's role. You will design the operational risk framework, including the enterprise risk taxonomy and appetite structure, stand up risk assessment and control assurance programs, own issue and risk event management, and build AI-native tooling that makes risk management faster, sharper, and practical for the people who actually own it.

Success requires someone who thrives with autonomy, builds risk practices that hold up under scale and regulatory scrutiny while still letting the business move quickly, and can translate operational risk into decisions the business, executives, and the Board will act on. You will partner closely with Engineering, Product, Operations, Treasury, Security, Legal, and Compliance, which separately owns programs that integrate with the firm-wide operational risk framework.

What You'll Do

Build and Own the Operational Risk Framework

Build the enterprise operational risk taxonomy, risk appetite statements, and supporting policy architecture.

Establish and lead the operational risk and resiliency forum, driving genuine challenge and alignment rather than status review.

Produce reporting to the Global Risk Committee and the Board that carries a clear point of view and prompts decisions.

Establish decision frameworks, escalation thresholds, and exception governance that hold under regulatory and partner scrutiny.

Get Ahead of Change, New Products, and New Markets

Own risk assessment for new products, partners, markets, and platform capabilities, including emerging asset classes, tokenized securities, and international market entry.

Build a change risk process that accelerates safe launches rather than create unnecessary friction.

Establish and run the RCSA program across a global, partner-dependent operating model.

Serve as a risk advisor to Operations, Product, Security, and Engineering leaders throughout the product development lifecycle.

Set the Enterprise Standard and Assure Controls

Own the enterprise methodology every risk program conforms to, including taxonomy, rating scale, assessment approach, defense in depth control framework, and KRI design conventions.

Build the operational control testing program covering ICOC and key operational controls, including methodology, sampling, deficiency classification, and remediation tracking to closure.

Aggregate output from programs executed by other assurance functions into a single enterprise risk picture, and challenge results that do not reconcile.

Own operational resiliency, business continuity, and disaster recovery, recognizing DriveWealth is itself critical infrastructure to its partners.

Close the Loop on Issues, Risk Events, and Indicators

Own enterprise issue management end to end, including methodology, intake, classification, corrective action, aging thresholds, and escalation.

Build the risk event and loss database, lead root cause analysis on material events, and ensure learnings feed back into risk assessments and control design.

Design a KRI framework tied to how the platform actually runs, including trade and settlement volume, availability, partner onboarding, and operational capacity.

Build AI-Native Tooling and Enablement for Risk Practices

Use automation and AI to move control testing from sample-based toward full-population where the data supports it, and to automate evidence collection and exception triage.

Build risk tooling first-line owners genuinely want to use, and treat low adoption as a design failure rather than a compliance problem.

Scale the program through tooling leverage rather than headcount.

Lead, Scale, and Develop the Team

Hire, coach, and develop a team of technically fluent risk professionals, setting a high bar for ownership, judgment, and execution.

Build a risk champion network across first-line functions so the program scales through the business.

Build a culture of bias for action, technical curiosity, and pragmatic risk decision-making.

Represent Risk Management with regulators, auditors, and enterprise partners.

You Bring

• 10+ years in operational, technology, or enterprise risk management, with significant time in a regulated financial services environment and prior ownership of a risk program.
• Demonstrated experience building a risk function from an early stage, not only operating an established one.
• Deep working knowledge of RCSA, control testing, issue management, KRI design, and risk event management.
• Practical fluency with agentic AI applied to risk work, with real examples of what you have built or deployed. Hands-on coding is not required, but technical depth is.
• Strong, practical understanding of broker-dealer operations and regulatory expectations across SEC, FINRA, CFTC, and NFA.
• Experience setting enterprise risk methodology that specialist programs, such as AML, cyber, privacy, or vendor risk, execute against.
• Proven ability to lead cross-functional initiatives and influence engineering and product organizations without formal authority.
• Excellent written and verbal communication, including the ability to write for a Board audience and hold a room with senior leadership.

Special Knowledge (Nice To Have, Not Required)

Experience at a broker-dealer, clearing firm, fintech, or embedded-finance / brokerage-as-a-service platform

Exposure to digital assets, tokenization, event contracts, or emerging market structure

Experience in a B2B or platform business where clients depend directly on your operational resiliency

Multi-jurisdiction or cross-border regulatory experience

Hands-on experience with GRC/IRM platforms, BI and visualization tooling, or agentic AI frameworks.

Relevant certifications: FRM, CRMA, CISA, CRISC, or comparable

Advanced degree in a business, technical, or quantitative field

Location

This role is open to candidates in the following locations: New York City, NY or Chicago, IL - Hybrid

This role is expected to come into the office on a cadence set by the Hiring Manager/Team.

If you're not based in one of the locations listed above, this role is not a fit, and we cannot accommodate remote work outside these locations.

Applicants must be authorized to work for any employer in the U.S. DriveWealth does not sponsor or take over sponsorship of an employment visa at this time.

Pay Range : $200,000 – $215,000 USD

Working at DriveWealth

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