Risk Management Specialist

10 hours ago

Jersey City, New Jersey, United States Fidelity Investments Full time
Job Title: Sr. Manager, Brokerage Risk

At Fidelity Investments, we are seeking a highly skilled and experienced Sr. Manager, Brokerage Risk to join our team. As a key member of our Brokerage Risk team, you will be responsible for advancing critical components of our risk governance program, including advisory, risk and readiness assessments, incident and issue management, and risk governance.

Key Responsibilities:
  • Advise new product, business and senior leadership on operational risks and risk mitigation strategies.
  • Support business units to build a robust control environment.
  • Proactively lead risk assessments to identify, assess, and monitor operational risks and control gaps.
  • Partner closely with business leads to develop remediation action plans.
  • Support and participate in risk governance meetings, including risk committee(s), and developing a new product governance framework.
  • Develop and track business unit key risk indicators to monitor operational risk profiles.
  • Coordinate risk initiatives with other second-line-of-defense leaders and functions to optimize cross-functional effectiveness.
  • Collaborate with legal, risk, and compliance across the organization to identify emerging risks and opportunities.
  • Timely investigation of incidents, determine root cause, and advise on corrective actions.
  • Oversee Brokerage issue management to ensure compliance with enterprise risk requirements.
Requirements:
  • 6-8 years of risk, compliance, legal, or audit experience at financial services institutions, e.g., asset managers, banks, regulatory agencies.
  • Experience with brokerage products and services, brokerage operations, or client service operations – including familiarity with regulatory requirements.
  • Strong judgment and analytical skills – you will need to excel at quickly analyzing complex risk and business issues in a variety of substantive areas.
  • Knowledge of risk frameworks, risk classifications, and experience in conducting risk assessments.
  • Proficiency in power point and excel and ability to deliver engaging and persuasive presentations and reporting to management.
  • Experience with Archer GRC or any industry GRC tool (preferred).
  • Bachelor's degree (required).
  • Series 7 certified, master's degree or advanced studies with strong academic credentials (preferred).
About Fidelity Investments:

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.

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.

We invite you to Find Your Career at Fidelity Investments. 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 [HR email].

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