Job Description
Company Overview
Fidelity Investments is a leading financial services company dedicated to helping individuals and families achieve their long-term financial goals. Our mission is to provide innovative solutions and exceptional service to our customers.
About the Role
We are seeking an experienced risk professional to join our Brokerage Risk team as a Director, Brokerage Risk. This individual will play a critical role in advising senior leadership on top operational risk focus areas and risk mitigation strategies. The successful candidate will have expertise in risk governance, risk assessment, and issue/incident management.
Key Responsibilities
• Advise senior leadership on top operational risk focus areas and risk mitigation strategies
• Lead proactive risk and readiness assessments in alignment with business top risks
• Drive risk evaluation and advisory support to stakeholders for key business initiatives and new products/services
• Partner closely with organizational stakeholders across Brokerage, Wealth, Workplace Investing and Fidelity Institutional to drive risk outcomes and identify emerging risks and opportunities
• Oversee Brokerage issue and action plan management to ensure compliance with enterprise risk requirements
Requirements
• Bachelor's degree (required)
• ~10-15+ years of risk, compliance, legal, or audit experience at complex financial services institutions (required)
• ~ Experience with brokerage products and services, brokerage operations, or client service operations – including familiarity with regulatory requirements (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)
Fidelity Investments is a leading financial services company dedicated to helping individuals and families achieve their long-term financial goals. Our mission is to provide innovative solutions and exceptional service to our customers.
About the Role
We are seeking an experienced risk professional to join our Brokerage Risk team as a Director, Brokerage Risk. This individual will play a critical role in advising senior leadership on top operational risk focus areas and risk mitigation strategies. The successful candidate will have expertise in risk governance, risk assessment, and issue/incident management.
Key Responsibilities
• Advise senior leadership on top operational risk focus areas and risk mitigation strategies
• Lead proactive risk and readiness assessments in alignment with business top risks
• Drive risk evaluation and advisory support to stakeholders for key business initiatives and new products/services
• Partner closely with organizational stakeholders across Brokerage, Wealth, Workplace Investing and Fidelity Institutional to drive risk outcomes and identify emerging risks and opportunities
• Oversee Brokerage issue and action plan management to ensure compliance with enterprise risk requirements
Requirements
• Bachelor's degree (required)
• ~10-15+ years of risk, compliance, legal, or audit experience at complex financial services institutions (required)
• ~ Experience with brokerage products and services, brokerage operations, or client service operations – including familiarity with regulatory requirements (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)
💡 Quick Summary
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