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Brokerage Risk Manager

2 months ago

Covington, Kentucky, United States Fidelity TalentSource LLC Full time



Position Overview:

Manager, Brokerage Risk

The Brokerage Risk division at Fidelity plays a crucial role in guiding our vibrant individual investor operations, fostering enduring connections with self-directed clients while assisting them in their investment journeys. This role is primarily focused on performing risk evaluations, aiding operational teams in analyzing intricate situations, and reinforcing essential elements of our risk governance framework.

Key Responsibilities:

  • Facilitate dedicated risk governance discussions, including risk oversight committees.
  • Examine complex workflows and datasets to pinpoint risk factors, assess control effectiveness, and identify control deficiencies.
  • Propose risk mitigation strategies, collaborate with management on solutions, and drive remediation efforts as necessary.
  • Conduct timely investigations into incidents, ascertain root causes, and recommend corrective measures.
  • Articulate complex issues clearly through concise summary reports and presentations.
  • Effectively juggle multiple projects and responsibilities within set timelines.

Qualifications and Skills:

  • Bachelor's degree (mandatory).
  • MBA or equivalent advanced degree with strong academic performance (preferred).
  • 5+ years of experience in risk management, compliance, legal, or audit roles within complex financial services organizations, such as asset management firms, banks, or regulatory bodies (required).
  • Proficient in querying and analyzing data to support operational assessments (required).
  • Demonstrated ability to independently meet the expectations of this role (required).
  • Familiarity with brokerage products and services, brokerage operations, or client service functions, including knowledge of regulatory standards (required).
  • Capability to deliver engaging and persuasive presentations and reports (required).
  • Experience with Archer GRC (preferred).

Behavioral Competencies:

  • Exhibits exceptional attention to detail and communication skills.
  • Drives results in a fast-paced, distributed, and intricate environment.
  • Establishes and nurtures effective working relationships across various business units and support functions.
  • Strikes a balance between speed and quality.

About the Team:

The Brokerage Risk team is dedicated to supporting Fidelity's retail distribution sector, focusing on empowering self-directed clients to achieve their financial aspirations. This specialized group of risk professionals collaborates closely with business leaders and cross-functional partners to ensure thorough risk management across brokerage operations—from frontline staff to executive leadership. In this role, you will provide risk advisory support for significant firm initiatives and new offerings that impact millions of self-directed investors.

The compensation for this position is competitive and varies based on responsibilities, geographic location, and the candidate's relevant experience.

Fidelity Investments is committed to providing a comprehensive benefits package that supports your evolving needs, including health care coverage, retirement plans, generous paid time off, and educational assistance programs.

Company Overview:

Fidelity Investments is a privately held organization dedicated to enhancing the financial well-being of our clients. We assist individuals in investing and planning for their futures, support companies and non-profits in delivering employee benefits, and provide institutions with investment and technology solutions.

Equal Opportunity Employer:

Fidelity Investments is an equal opportunity employer. We are committed to building a diverse workforce and fostering an inclusive culture. We will accommodate applicants with disabilities who require adjustments during the application or interview process.