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

Fidelity Investments Merrimack, United States

3 weeks ago

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
Lead a team responsible for identifying, assessing, and monitoring risk
Proactively identify, assess, and monitor operational risks and remediation action plans
Develop and track key risk indicators to monitor operational risk profiles
Analyze data and partner with other lines of defense to identify emerging risk trends
Timely investigate incidents, determine root cause, and advise on corrective actions
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)
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:

Company Overview

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.

Join Us

At Fidelity, you'll find endless opportunities to build a meaningful career that positively impacts peoples' lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees' Choice Award, we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don't need a finance background to succeed at Fidelity-we offer a range of opportunities for learning so you can build the career you've always imagined.

Fidelity's working model blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).

At Fidelity, 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. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.

We invite you to Find Your Fidelity at

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 , or by calling , prompt 2, option 3.

PDN-9b e8-4d6b-b757-190da31e5ee6

Director, Brokerage Risk

3 weeks ago

Fidelity TalentSource LLC Merrimack, United States

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.\u00A0 You will report to the Head of Brokerage Risk and be responsible fo ...
Director, Brokerage Risk

3 weeks ago

Fidelity TalentSource LLC Merrimack, United States

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 adva ...
Director, Brokerage Risk

4 weeks ago

Fidelity TalentSource LLC Merrimack, United States

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.u00A0 You will report to the Head of Brokerage Risk and be responsible for ...
Director, Brokerage Risk

3 weeks ago

Fidelity TalentSource LLC Merrimack, United States

Job Description:The RoleThe Brokerage Risk team advises Fidelity s dynamic individual investor businesses building lifetime relationships with self-directed clients and helping them save and invest./u00A0 You will report to the Head of Brokerage Risk and be responsible for advanc ...
Director, Brokerage Risk

3 weeks ago

Fidelity TalentSource LLC Merrimack, United States

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.u00A0 You will report to the Head of Brokerage Risk and be responsible for ...
Director, Brokerage Risk

2 weeks ago

Fidelity Investments Merrimack, United States

Job Description: · The Role · Ready to apply Before you do, make sure to read all the details pertaining to this job in the description below. · The Brokerage Risk team advises Fidelity's dynamic individual investor businesses building lifetime relationships with self-directed ...
Director, Brokerage Risk

3 weeks ago

Fidelity TalentSource LLC Merrimack, United States

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.\u00A0 You will report to the Head of Brokerage Risk and be responsible for ...
ETRA Principal Technology Risk Analyst

14 hours ago

Fidelity TalentSource LLC Merrimack, United States

· Job Description: · The Role · The Technology Risk team for Fidelity Brokerage (FB) within Enterprise Technology Risk & Analytics (ETRA) group is seeking a passionate, driven, and experienced professional to join the team\u00A0 Leading the Fidelity Brokerage Technology Risk Man ...
Director Site Reliability Engineering

3 days ago

Fidelity TalentSource LLC Merrimack, United States

· Job Description: · The Role · We are seeking a Director of Non-Production Environment Stability who is curious, analytical, and passionate about solving problems. The Non-Prod Environment Stability organization is a new team within the FBT R4 Domain dedicated to improving FBT ...
Director Site Reliability Engineering

3 days ago

Fidelity TalentSource LLC Merrimack, United States

Job Description: · The Role · We are seeking a Director of Non-Production Environment Stability who is curious, analytical, and passionate about solving problems. The Non-Prod Environment Stability organization is a new team within the FBT R4 Domain dedicated to improving FBT a ...
Data Steward

4 days ago

Fidelity TalentSource LLC Merrimack, United States

Data Steward · Fidelity TalentSource is your destination for discovering your next temporary role at Fidelity Investments. We are currently sourcing for a Data Steward to work in one of our corporate offices including Boston, Smithfield, RI, Merrimack, NH, Jersey City, Westlake, ...
Senior Analyst, Global Product

3 weeks ago

Soteriare Merrimack, United States

Senior Analyst, Global Product & Markets Information page is loaded · Senior Analyst, Global Product & Markets Information · Apply · locations · Merrimack, NH · time type · Full time · posted on · Posted 16 Days Ago · job requisition id · Job Description: · The Senior ...
Data Steward

1 day ago

Fidelity TalentSource LLC Merrimack, United States

Data Steward · Fidelity TalentSource is your destination for discovering your next temporary role at Fidelity Investments. We are currently sourcing for a Data Steward to work in one of our corporate offices including Boston, Smithfield, RI, Merrimack, NH, Jersey City, Westlake, ...
Senior Analyst, Global Product

3 weeks ago

Fidelity Investments Merrimack, United States

Job Description: · The Senior Analyst in Global Product & Markets (GPMI) is part of the Fidelity Fund & Investment Operations group. Global Product & Markets Information's mission is to facilitate information flow regarding our funds and clients to ensure trading readiness acros ...
Senior Analyst, Global Product

2 weeks ago

Fidelity Investments Merrimack, United States

Job Description: · The Senior Analyst in Global Product & Markets (GPMI) is part of the Fidelity Fund & Investment Operations group. Global Product & Markets Information's mission is to facilitate information flow regarding our funds and clients to ensure trading readiness acros ...
Bookkeeper

1 week ago

Chinatti Realty Group Chelmsford, United States

The Bookkeeper is instrumental in our real estate brokerage. You will be responsible for ensuring the accurate and timely management of agent and referral payments, overseeing accounts payable and vendor file maintenance, and coordinating month, quarter, and year-end financial fu ...
Client Service Manager

1 week ago

Gallagher Concord, United States

About Us: · Indulge your passion for problem-solving and embrace the thrill of addressing risk head-on at Gallagher's global brokerage team. Join a family of diverse minds, united by a relentless pursuit of excellence. As part of our team, you'll be the architect of protection, s ...
Client Service Associate I

5 days ago

Gallagher Concord, United States

About Us: · Indulge your passion for problem-solving and embrace the thrill of addressing risk head-on at Gallagher's global brokerage team. Join a family of diverse minds, united by a relentless pursuit of excellence. As part of our team, you'll be the architect of protection, s ...
Client Service Associate

1 week ago

Gallagher Concord, United States

About Us: · Indulge your passion for problem-solving and embrace the thrill of addressing risk head-on at Gallagher's global brokerage team. Join a family of diverse minds, united by a relentless pursuit of excellence. As part of our team, you'll be the architect of protection, s ...
Select Commercial Insurance Sales Producer

3 weeks ago

USI Holdings Corporation Bedford, United States

General Description: The Industry Specialized Program for Select Commercial Insurance Sales Producer -Industry Specialized role, is a comprehensive sales and insurance program focused on outside sales driving new business sales revenue growth of commercial business clients ($10mm ...