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Sr. Manager, Brokerage Risk Management

3 months ago

Smithfield, United States Fidelity TalentSource LLC 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.\u00A0 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. \u00A0Brokerage 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.\u00A0 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:

Company Overview

Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients money.

Join Us

At Fidelity, you ll find endless opportunities to build a meaningful career that positively impacts peoples lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a

Glassdoor Employees Choice Award , we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don t need a finance background to succeed at Fidelity\u2014we offer a range of opportunities for learning so you can build the career you ve always imagined. Fidelitys 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).

At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation,

detailed in this document , and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.

We invite you to Find Your Fidelity at

fidelitycareers.com .

Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.

Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, contact the HR Accommodation Team by sending an email to

accommodations@fmr.com .