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Fidelity Investments · 10 hours ago

Senior Manager, Brokerage Risk

Covington, KY

Full-time

Hybrid

Senior Level

$89K/yr - $180K/yr

6+ years exp

Fidelity Investments is seeking a Senior Manager for their Brokerage Risk team, which supports individual investor businesses. The role involves advising on operational risks, leading risk assessments, and collaborating with various stakeholders to ensure effective risk management.

Asset ManagementFinanceFinancial ServicesRetirementWealth Management

Growth Opportunities

No H1B

Responsibilities

Advise new product, business and senior leadership on operational risks and risk mitigation strategies

Proactively lead risk assessments to identify, assess, and monitor operational risks and control gaps. Partner closely with business leads to develop remediation action plans

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

Build effective working relationships with business leaders and cross-functional partners

Qualification

Risk managementCompliance experienceAnalytical skillsRisk frameworks knowledgeBrokerage operations experienceGRC tool proficiencyPowerPoint proficiencyExcel proficiencyIndependent workerAttention to detailCommunication skills

Required

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

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