Brokerage Risk Manager

1 week ago

Covington, Kentucky, United States Fidelity Investments Full time
Job Overview:

Manager, Brokerage Risk

The Brokerage Risk division at Fidelity Investments plays a crucial role in guiding the individual investor sector, fostering enduring relationships with self-directed clients, and aiding them in their financial journey. This position is primarily focused on assessing risks, collaborating with operational teams to analyze intricate scenarios, and bolstering essential elements of our risk governance framework.

Key Responsibilities
  • Facilitate dedicated risk governance discussions, including risk oversight committees.
  • Examine complex workflows and data to pinpoint risk factors, evaluate control effectiveness, and identify control deficiencies.
  • Propose risk mitigation strategies, collaborate with management on broker solutions, and spearhead remediation efforts as necessary.
  • Conduct timely investigations into incidents, ascertain root causes, and recommend corrective measures.
  • Effectively communicate intricate issues by summarizing them into clear reports and presentations.
  • Manage multiple projects and responsibilities efficiently within set timelines.
Qualifications and Skills
  • Bachelor's degree (mandatory).
  • MBA or other advanced degree with strong academic performance (preferred).
  • 5+ years of experience in risk, compliance, legal, or audit roles within complex financial institutions, such as asset management firms, banks, or regulatory bodies (required).
  • Proficient in querying and analyzing data to support business and operational assessments (required).
  • Demonstrated ability to independently meet the expectations for this role (required).
  • Familiarity with brokerage products and services, brokerage operations, or client service operations, 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, complex environment.
  • Builds and sustains effective working relationships across various business units and support functions.
  • Maintains a balance between speed and quality.
About the Team

The Brokerage Risk team is dedicated to supporting Fidelity Investments' retail distribution sector, focusing on empowering self-directed clients to reach their financial objectives. This specialized team 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 directly influence millions of self-directed investors.

The compensation range for this role is $71,000-$112,000 annually, with placement varying based on job responsibilities, geographic location, and the candidate's relevant experience.

Compensation includes a comprehensive benefits package designed to support your evolving needs, including health care coverage, retirement plans, generous paid time off, parental leave, charitable giving programs, and educational assistance.

Certifications:

Category:

Risk

  • Brokerage Risk Manager

    2 weeks ago

    Covington, Kentucky, United States Fidelity Investments Full time

    Position Overview:Brokerage Risk is integral to the retail distribution sector of Fidelity Investments, dedicated to empowering self-directed clients in achieving their financial aspirations.Role Responsibilities:This specialized team of risk experts collaborates closely with business leaders to ensure effective risk management practices within the brokerage...

  • Brokerage Risk Manager

    1 week ago

    Covington, Kentucky, United States Fidelity Investments Full time

    Job Overview: Manager, Brokerage Risk The Brokerage Risk division at Fidelity Investments plays a crucial role in guiding our vibrant individual investor operations, fostering enduring relationships with self-directed clients, and aiding them in their financial journeys. This position is primarily focused on individual contributions, with a key...

  • Brokerage Risk Manager

    1 week ago

    Covington, Kentucky, United States Fidelity TalentSource LLC Full time

    Position Overview:Manager, Brokerage RiskThe Brokerage Risk division provides guidance to Fidelity's vibrant individual investor operations, fostering enduring relationships with self-directed clients and assisting them in their investment journeys. This role is primarily focused on conducting thorough risk evaluations, aiding operational teams in analyzing...

  • Brokerage Risk Manager

    2 weeks ago

    Covington, Kentucky, United States Fidelity TalentSource LLC Full time

    Position Overview:Manager, Brokerage RiskThe 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...

  • Brokerage Risk Manager

    1 week ago

    Covington, Kentucky, United States Fidelity TalentSource LLC Full time

    Job Overview:Manager, Brokerage RiskThe Brokerage Risk division provides guidance to Fidelity's dynamic individual investor operations, fostering lasting relationships with self-directed clients and assisting them in their financial planning and investment endeavors. This role is primarily focused on performing risk evaluations, aiding operational teams in...

  • Brokerage Risk Manager

    1 week ago

    Covington, Kentucky, United States Fidelity TalentSource LLC Full time

    Job Overview:Manager, Brokerage RiskThe Brokerage Risk division provides guidance to Fidelity's vibrant individual investor operations, fostering lasting connections with self-directed clients and assisting them in their investment journeys. This role is primarily focused on individual contributions, particularly in executing risk evaluations, aiding...

  • Senior Brokerage Risk Manager

    2 weeks ago

    Covington, Kentucky, United States Fidelity Investments Full time

    Senior Manager, Brokerage RiskThe Senior Manager of Brokerage Risk is essential in guiding Fidelity's individual investor operations, aiding self-directed clients in their financial planning and investment strategies. Reporting directly to the Director of Brokerage Risk, this role encompasses critical elements of the risk governance framework across diverse...

  • Senior Manager, Risk Oversight in Brokerage

    2 weeks ago

    Covington, Kentucky, United States Fidelity Investments Full time

    Job Overview: Senior Manager, Brokerage Risk The Brokerage Risk division at Fidelity Investments plays a pivotal role in guiding our vibrant individual investor operations, fostering lasting connections with self-directed clients while assisting them in their investment journeys. In this position, you will report directly to the Head of Brokerage Risk and...

  • Senior Brokerage Risk Management Leader

    2 weeks ago

    Covington, Kentucky, United States Fidelity Investments Full time

    Senior Manager, Brokerage RiskThe Senior Manager of Brokerage Risk is pivotal in guiding Fidelity's individual investor operations, supporting self-directed clients in their financial planning and investment strategies. Reporting directly to the Director of Brokerage Risk, this role encompasses the oversight of critical elements within the risk governance...

  • Risk Management Specialist

    4 days ago

    Covington, Kentucky, United States Fidelity TalentSource LLC Full time

    Job DescriptionJob Summary:We are seeking a highly skilled Risk Management Specialist to join our team at Fidelity TalentSource LLC. As a Risk Management Specialist, you will play a critical role in advising our dynamic individual investor businesses on risk management strategies and ensuring the integrity of our risk governance program.Key...

  • Senior Manager, FinOps Investment Reconciliation and Self-Directed Brokerage

    5 days ago

    Covington, Kentucky, United States Fidelity Investments Full time

    Job Summary:Senior Manager, FinOps Investment Reconciliation and Self-Directed BrokerageRoleThe Senior Manager oversees a team of professionals responsible for ensuring the accuracy and completeness of investment reconciliation and self-directed brokerage transactions. This role ensures that all transactions are properly identified, distributed, and resolved...

  • Compliance Risk Specialist

    2 weeks ago

    Covington, Kentucky, United States Fidelity Talentsource Llc Full time

    Position OverviewFidelity TalentSource is your destination for discovering your next temporary role at Fidelity Investments. We are currently sourcing for a Risk Analyst to work at Fidelity Investments.Key ResponsibilitiesThe primary responsibilities of the Risk Analyst include supporting the Enterprise Compliance Management's Anti-Money Laundering (AML)...

  • Compliance Risk Specialist

    2 weeks ago

    Covington, Kentucky, United States Fidelity Talentsource Llc Full time

    Position OverviewFidelity TalentSource is the premier source for identifying your next temporary opportunity at Fidelity Investments. We are currently seeking a Compliance Risk Specialist to join our team.Key ResponsibilitiesThe Compliance Risk Specialist will play a crucial role in supporting the Enterprise Compliance Management's Anti-Money Laundering...

  • Nurse Practitioner

    4 days ago

    Covington, Kentucky, United States Matrix Medical Network Full time

    About Matrix Medical NetworkMatrix Medical Network is a leading provider of clinical services and expertise that empower primary care providers and at-risk health plan members to better manage their health at home.Job SummaryWe are seeking a skilled Nurse Practitioner to join our team as a PRN/Part Time Home Risk Assessment Specialist. In this role, you will...

  • Client Relations Manager

    2 weeks ago

    Covington, Kentucky, United States Fidelity TalentSource LLC Full time

    Job Overview:The PositionIn this position, you will serve as the main point of contact for 401(k) administrative services for some of our most significant corporate institutional clients. Overseeing daily and diligent evaluations of plan administration quality for Defined Contribution, HSA, and Non-Qualified plans. Guiding client plan administration to...

  • Client Relations Manager

    2 weeks ago

    Covington, Kentucky, United States Fidelity TalentSource LLC Full time

    Job Overview:The PositionIn this position, you will serve as the main point of contact for 401(k) administrative services for some of our largest corporate institutional clients. Overseeing daily and thorough assessments of plan administration quality for Defined Contribution, HSA, and Non-Qualified plans. Guiding client plan administration to ensure...

  • Client Relations Manager

    1 week ago

    Covington, Kentucky, United States Fidelity TalentSource LLC Full time

    Job Overview:The PositionIn this position, you will serve as the main point of contact for 401(k) administrative services for some of our most significant corporate institutional clients. You will oversee daily and thorough evaluations of plan administration quality for Defined Contribution, HSA, and Non-Qualified plans. You will guide client plan...

  • Case Management Supervisor

    2 weeks ago

    Covington, Kentucky, United States CHNK Behavioral Health Full time

    Targeted Case Manager SupervisorLocation: CHNK Behavioral HealthPosition Overview:The Targeted Case Manager Supervisor is tasked with overseeing the delivery and coordination of Targeted Case Management (TCM) services for clients. This role involves supervising a dedicated team of Targeted Case Managers, ensuring compliance with regulations, and guaranteeing...

  • Case Management Supervisor

    1 week ago

    Covington, Kentucky, United States CHNK Behavioral Health Full time

    Targeted Case Manager SupervisorLocation: CHNK Behavioral HealthPosition Overview:The Targeted Case Manager Supervisor is accountable for the delivery and coordination of Targeted Case Management (TCM) services to clients. This role involves overseeing a team of professionals (Targeted Case Managers) and ensuring compliance with regulations while...

  • Sales Tax Accountant

    4 days ago

    Covington, Kentucky, United States Pro Mach Full time

    Job SummaryWe are seeking a highly skilled Sales Tax Accountant to join our Financial Shared Services Team at ProMach. As a key member of our team, you will be responsible for providing support in Tax Accounting Services, including preparing monthly and quarterly sales tax returns, assisting with developing the end-to-end process of the sales tax cycle, and...