Sr. Manager, Brokerage Risk Management

2 months ago

Smithfield, United States Fidelity Investments Full time
Job Description:

Sr. Manager, Brokerage Risk

The Brokerage Risk team advises Fidelity's dynamic individual investor businesses building lifetime relationships with self-directed clients and helping them save and invest. You will report to the Director of Brokerage Risk and be responsible for advancing critical components of our risk governance program covering a wide array of brokerage products and services, brokerage operations, retail client services, and digital product and engineering initiatives.

The Expectations for this Role
  • Advise senior leadership on operational risks and risk mitigation strategies
  • Support and participate in risk governance meetings, including risk committee(s)
  • Proactively identify, assess, and monitor operational risks and remediation action plans
  • Develop and track business unit key risk indicators to monitor operational risk profiles
  • Coordinate risk assessment program with other second-line-of-defense leaders and functions to optimize cross-functional effectiveness
  • Collaborate with other lines of defense to identify emerging risks and opportunities
  • Timely investigate incidents, determine root cause, and advise on corrective actions
  • Oversee Brokerage issue management to ensure compliance with enterprise risk requirements
  • Build effective working relationships with business leaders and cross-functional partners
The Expertise and Skills You Bring
  • Bachelor's degree (required)
  • MBA, Juris Doctor, or other master's degree with strong academic credentials (preferred)
  • 6-8+ years of risk, compliance, legal, or audit experience at complex financial services institutions, e.g., asset managers, banks, regulatory agencies (required)
  • Experience independently delivering on the expectations for this role (required)
  • Experience with brokerage products and services, brokerage operations, or client service operations - including familiarity with regulatory requirements (required)
  • Ability to deliver engaging, compelling, and persuasive presentations and reporting (required)
  • Exceptional judgment and analytical skills - you will need to excel at quickly analyzing complex risk and business issues in a variety of substantive areas (required)
  • Experience with Archer GRC (preferred)
Behavioral Attributes
  • Exhibits executive presence and effectively persuades and influences senior leaders
  • Demonstrates exceptional attention to detail and communications skills
  • Drives outcomes in a fast-paced, distributed, and complex environment
  • Builds and maintains effective working relationships across businesses and support functions
  • Balances pace over perfection


The Team

Brokerage Risk supports the retail distribution arm of Fidelity Investments focused on enabling self-directed customers to achieve their financial goals. Brokerage Risk is a dedicated team of risk professionals who partner directly with business leaders and cross-functional partners to ensure comprehensive risk management throughout the brokerage businesses - from the frontline to executive leadership. As part of this team, you will help deliver risk advisory support on major firm initiatives and new products and services that directly impact more than 18 million self-directed investors.

Certifications:

Category:

Risk

Fidelity's working model blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).

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