The Tidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs. We combine expertise and innovative partnership approaches to offer comprehensive, value-generating ETF solutions. 

Our platform offers best-in-class strategic guidance, product planning, trust and fund services, legal support, operations support, marketing and research, and sales and distribution services.

About the role

The VP of Risk Management and Corporate Governance will be responsible for designing, enhancing, and overseeing the organization’s Enterprise Risk Management (ERM) and governance framework, with a strong focus on regulatory compliance, operational risk, and industry-specific challenges. The VP will work closely with cross-functional teams to identify, document, assess, and prioritize risks while implementing strategies to mitigate and remediate them. The role will ensure alignment with the organization’s risk appetite and regulatory requirements, providing key insights and reporting on risk and governance metrics to empower senior leadership to make informed decisions and strengthen the company’s control environment. The ideal candidate will have a strong understanding of ETFs, financial markets, and regulatory requirements.

What you'll do

Risk Assessment and Management:

• Partner with all departments across Tidal to identify, document, rank, and mitigate potential risks common to the financial services industry.
• Conduct detailed risk assessments, considering factors such as market volatility, regulatory compliance, legal structures, operational efficiency, and reputational impact.
• Create, maintain and update an enterprise-wide risk reporting dashboard, as well as detailed department specific risk registers, ensuring they reflect the enterprise’s rapidly changing risk landscape and regulatory requirements.
• Identify key operational risks across trading, settlement, liquidity management, fund operations, and compliance.

Governance Framework Development:

• Lead the activities of the Risk Management Committee, ensuring alignment with enterprise objectives and industry best practices.
• Design and implement a comprehensive Risk Management and Governance framework tailored to Tidal, addressing compliance, operational, legal, vendor management, product development, business procurement, and cyber and other enterprise related risks.
• Develop and enforce governance policies, standards, and procedures that align with the company’s strategic goals.
• Assess and oversee operational risks related to trading systems, data security, and third party service providers
• Ensure adherence to SEC, FINRA, and other regulatory requirements affecting ETFs and asset management.
• Collaborate with all Tidal business units to ensure risk management policies and procedures align with applicable regulations (e.g., SEC, FINRA, etc.) and industry standards

Risk Mitigation and Remediation:

• Oversee the development and implementation of risk mitigation strategies across departments, ensuring accountability to senior leadership.
• Design and monitor internal controls to mitigate operational risks, including those related to fund administration, NAV calculation, trade execution, and regulatory reporting.
• Partner with business units to design and execute remediation plans in response to identified risks or regulatory findings.
• Continuously monitor the effectiveness of mitigation efforts, refining strategies to ensure operational resilience and regulatory compliance.

Stakeholder Engagement:

• Serve as the primary liaison for governance and risk management-related inquiries from internal teams, regulators, and external partners.
• Promote a risk-aware culture by providing training, sharing updates from the Risk Management Committee, and fostering enterprise-wide engagement in risk management initiatives.
• Collaborate with external auditors, regulatory bodies, and third parties during due diligence processes or regulatory reviews.
• Manage and deliver Risk Management Committee outputs, including risk metrics (KRIs/KPIs) and detailed reporting, to Senior Management and the Executive Committee as required.

Continuous Improvement:

• Stay updated on industry best practices, regulatory changes, and emerging risks in financial services, such as cyber security threats, third-party related events, and market disruptions.
• Lead initiatives to enhance risk management frameworks and processes, leveraging technology and data analytics where applicable.
• Conduct regular audits and reviews of governance and risk management practices, providing actionable insights to drive continuous improvement.
• Investigate operational risk incidents, perform root cause analysis, and develop remediation plans.

Qualifications

Educational Background:

• Bachelor’s degree in business administration, finance, risk management, or a related field.
• Advanced degree (MBA, JD, or Master’s in Risk Management) preferred.

Experience:

• Minimum of 10 years of experience in enterprise risk management, governance, or related fields within asset management, ETFs, or financial services.
• Strong knowledge of ETF mechanics, including trading, liquidity, and regulatory landscape.
• Proven leadership experience, including managing cross-functional teams and influencing senior executives.

Expertise in Risk Management:

• Deep knowledge of Enterprise Risk Management (ERM) frameworks (e.g., COSO, ISO 31000).
• Hands-on experience in regulatory compliance, operational risk, and industry-specific risks (e.g., financial services and technology).

Knowledge of Corporate Governance:

• Strong understanding of governance frameworks, board reporting, and regulatory requirements.
• Familiarity with internal audit, ethics, and compliance programs.

Technical Skills:

• Proficiency in risk management tools, data analytics, and governance platforms.
• Strong analytical and problem-solving skills with the ability to synthesize complex information into actionable insights.

Interpersonal and Communication Skills:

• Exceptional verbal and written communication skills to articulate risks and strategies effectively to stakeholders at all levels.
• Ability to collaborate with diverse teams and build consensus.

Certifications (Preferred):

• Professional certifications such as Certified Risk Management Professional (CRMP), or Governance, Risk, and Compliance Professional (GRCP).

Regulatory Acumen:

• Deep understanding of regulatory environments and requirements relevant to the financial services industry.