Director of Trading & Risk

Position Summary

We’re seeking a Director of Trading & Risk to lead all aspects of trading operations, market risk management, and regulatory compliance across Securitize Markets. This leader will oversee daily trading activity, ensure best execution, manage liquidity and counterparty exposure, and design a robust risk framework that supports growth while maintaining compliance with FINRA, SEC, and other regulatory standards.

Key Responsibilities

• Trading Operations

  • Oversee all secondary trading activity (including Securitize Markets’ ATS as well as dealing desk activities) ensuring accurate execution, clearing, and settlement of digital securities transactions.
  • Manage relationships with broker-dealer partners, custodians, and liquidity providers to optimize market depth and efficiency.
  • Monitor market performance, spreads, order flow, and trade anomalies to ensure integrity and stability.
  • Implement policies and controls around trade reporting, order management, and reconciliation across blockchain and traditional systems.

• Risk Management

  • Develop and maintain a comprehensive market, credit, counterparty and operational risk framework tailored to digital securities trading.
  • Monitor and manage exposure across counterparties, issuers, and trading participants.
  • Lead stress testing, liquidity modeling, and scenario analysis for both digital and fiat operations.
  • Establish internal thresholds, alerts, and escalation processes for abnormal trading or liquidity events.

• Regulatory Oversight & Compliance

  • Partner with Compliance and Legal teams to ensure adherence to SEC and FINRA requirements related to agency/principal trading, ATS operations, trade surveillance, and best execution.
  • Maintain policies and documentation required for audits, regulatory exams, and risk assessments.
  • Oversee trade surveillance programs to detect and prevent market manipulation, insider trading, or anomalous activity.
  • Serve as a subject matter expert for risk and trading compliance matters in regulatory reviews and board reporting.

• Cross-Functional Leadership

  • Collaborate with Engineering and Product teams to enhance trading systems, order routing, and blockchain settlement processes.
  • Prioritize partnerships with Finance to align risk and capital frameworks, collateral management, and treasury operations.
  • Work with Issuer and Client Support teams to ensure transparency and reliability across all market activities.

• Strategy & Market Development

  • Provide market insights to leadership, informing liquidity strategy, asset onboarding, and product expansion.
  • Identify opportunities for trading optimization, new market structures, and tokenized asset categories.
  • Stay ahead of emerging market regulations, technologies, and competitive trends within digital securities and blockchain-based trading.

Required Skills & Experience

• 8–12 years of experience in trading operations, risk management, or market structure, ideally within a Broker-Dealer, ATS, or digital asset exchange.
• Requisite FINRA licensing (S7, S24, S55/57 at a minimum)
• Deep understanding of securities trading workflows — order management, execution, clearing, and settlement.
• Hands-on experience building or managing risk frameworks for trading environments (market, credit, liquidity, operational).
• Strong grasp of regulatory regimes under SEC, FINRA, and NFA.
• Proven experience leading cross-functional initiatives that balance growth and compliance in a fast-moving financial technology context.
• Excellent analytical, quantitative, and decision-making skills.
• Clear communicator with experience engaging regulators, auditors, and executive stakeholders.

Preferred Qualifications

• Experience with tokenized securities, blockchain-based settlement, and smart contract mechanics.
• Familiarity with digital asset custody, stablecoins, and on-chain trade reconciliation.
• Prior leadership experience in risk, trading, or compliance functions at a fintech or digital asset firm.
• Advanced degree (MBA, MS Finance, or JD)
• Knowledge of modern trading technologies and market data systems (OMS, EMS, risk engines, and analytics platforms).