Senior Manager, Brokerage Risk
Fidelity Corp, Covington, KY, United States
Brokerage Risk Team Member
The Brokerage Risk team advises Fidelity's dynamic individual investor businesses building lifetime relationships with self-directed clients and helping them save and invest. As an integral member of the team, you will be responsible for supporting critical components of our risk program including risk assessments, incident and issue management, and key risk initiatives. The Brokerage Risk team covers a wide array of brokerage services including digital products, trading and margin, core brokerage operations, and client services. Responsibilities include: Advising new product, business and senior leadership on operational risks and risk mitigation strategies. Leading risk assessments to identify, assess, and monitor operational risks and control gaps. Partner closely with business leads to develop remediation action plans. Developing and tracking business unit key risk indicators to monitor operational risk profiles. Coordinating risk initiatives with other second-line-of-defense leaders and functions to optimize cross-functional effectiveness. Collaborating with legal, risk, and compliance across the organization to identify emerging risks and opportunities. Investigating incidents, determining root cause, and advising on corrective actions. Building effective working relationships with business leaders and cross-functional partners. The Expertise and Skills You Bring include: 6-8+ years of risk, compliance, legal, or audit experience at financial services institutions. Experience with brokerage products and services, brokerage operations, or client service operations including familiarity with regulatory requirements. Strong judgment and analytical skills. Knowledge of risk frameworks, risk classifications, and experience in conducting risk assessments. Proficiency in PowerPoint and Excel and ability to deliver engaging and persuasive presentations and reporting to management. Experience with Archer GRC or any industry GRC tool. Bachelor's degree. Independent worker with a bias to action and ability to deliver and drive outcomes with minimal guidance in a fast-paced, distributed, and complex environment. Building and maintaining effective working relationships across businesses and support functions is critical to the success of this role. Demonstrates exceptional attention to detail and communications skills (verbal and written). Balances pace over perfection and able to support multiple projects and committees. 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. The base salary range for this position is $89,000-$180,000 per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.
The Brokerage Risk team advises Fidelity's dynamic individual investor businesses building lifetime relationships with self-directed clients and helping them save and invest. As an integral member of the team, you will be responsible for supporting critical components of our risk program including risk assessments, incident and issue management, and key risk initiatives. The Brokerage Risk team covers a wide array of brokerage services including digital products, trading and margin, core brokerage operations, and client services. Responsibilities include: Advising new product, business and senior leadership on operational risks and risk mitigation strategies. Leading risk assessments to identify, assess, and monitor operational risks and control gaps. Partner closely with business leads to develop remediation action plans. Developing and tracking business unit key risk indicators to monitor operational risk profiles. Coordinating risk initiatives with other second-line-of-defense leaders and functions to optimize cross-functional effectiveness. Collaborating with legal, risk, and compliance across the organization to identify emerging risks and opportunities. Investigating incidents, determining root cause, and advising on corrective actions. Building effective working relationships with business leaders and cross-functional partners. The Expertise and Skills You Bring include: 6-8+ years of risk, compliance, legal, or audit experience at financial services institutions. Experience with brokerage products and services, brokerage operations, or client service operations including familiarity with regulatory requirements. Strong judgment and analytical skills. Knowledge of risk frameworks, risk classifications, and experience in conducting risk assessments. Proficiency in PowerPoint and Excel and ability to deliver engaging and persuasive presentations and reporting to management. Experience with Archer GRC or any industry GRC tool. Bachelor's degree. Independent worker with a bias to action and ability to deliver and drive outcomes with minimal guidance in a fast-paced, distributed, and complex environment. Building and maintaining effective working relationships across businesses and support functions is critical to the success of this role. Demonstrates exceptional attention to detail and communications skills (verbal and written). Balances pace over perfection and able to support multiple projects and committees. 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. The base salary range for this position is $89,000-$180,000 per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.