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Smithfield

    Director, Brokerage Risk - Smithfield, United States - Fidelity Investments

    Fidelity Investments
    Fidelity Investments Smithfield, United States

    1 week ago

    Fidelity Investments background
    Description
    Job Description:

    The Role

    The Brokerage Risk team advises Fidelity's dynamic individual investor businesses building lifetime relationships with self-directed clients and helping them save and invest. You will report to the Head of Brokerage Risk and be responsible for advancing critical components of our risk governance program covering a wide array of brokerage products and services, brokerage operations, retail client services, and digital product and engineering initiatives.
    • Advise senior leadership on operational risks and risk mitigation strategies
    • Support and participate in risk governance meetings, including risk committee(s)
    • Proactively identify, assess, and monitor operational risks and remediation action plans
    • Develop and track business unit key risk indicators to monitor operational risk profiles
    • Coordinate risk assessment program with other second-line-of-defense leaders and functions to optimize cross-functional effectiveness
    • Collaborate with other lines of defense to identify emerging risks and opportunities
    • Timely investigate incidents, determine root cause, and advise on corrective actions
    • Oversee Brokerage issue management to ensure compliance with enterprise risk requirements
    • Build effective working relationships with business leaders and cross-functional partners
    The Expertise and Skills You Bring
    • Bachelor's degree (required)
    • MBA, Juris Doctor, or other master's degree with strong academic credentials (preferred)
    • 8-10+ years of risk, compliance, legal, or audit experience at complex financial services institutions, e.g., asset managers, banks, regulatory agencies (required)
    • Experience independently delivering on the expectations for this role (required)
    • Experience with brokerage products and services, brokerage operations, or client service operations - including familiarity with regulatory requirements (required)
    • Ability to deliver engaging, compelling, and persuasive presentations and reporting (required)
    • Exceptional judgment and analytical skills - you will need to excel at quickly analyzing complex risk and business issues in a variety of substantive areas (required)
    • Experience with Archer GRC (preferred)
    Behavioral Attributes
    • Exhibits executive presence and effectively persuades and influences senior leaders
    • Leads, develops, and inspires high-performing teams
    • Demonstrates exceptional attention to detail and communications skills
    • Drives outcomes in a fast-paced, distributed, and complex environment
    • Builds and maintains effective working relationships across businesses and support functions
    • Balances pace over perfection
    The Team

    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 $100,000-$169,000 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. Note, the application window closes when the position is filled or unposted.

    Certifications:

    Category:

    Risk
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