Job Description:

Note: Fidelity will not provide immigration sponsorship for this position.

The Brokerage Risk team advises Fidelity’s dynamic individual investor businesses by building lifetime relationships with self-directed clients and helping them save and invest. In this role, you will advance critical components of the risk governance program covering a wide array of brokerage products and services, brokerage operations, retail client services, and digital product and engineering initiatives.

Expectations for this role include:

• Advise senior leadership on operational risks and risk mitigation strategies

• Support and participate in risk governance meetings, including risk committee(s)

• Lead a team responsible for identifying, assessing, and monitoring risk

• Proactively identify, assess, and monitor operational risks and remediation action plans

• Coordinate the 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 causes, and advise on corrective actions

• Oversee brokerage issue management to ensure compliance with enterprise risk requirements

• Build and maintain 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)

• Proven experience independently delivering on the expectations of 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, with the ability to quickly analyze complex risk and business issues across multiple substantive areas (required)

• Experience with Archer GRC (preferred)

Behavioral Attributes

• Demonstrates executive presence and effectively persuades and influences senior leaders

• Leads, develops, and inspires high-performing teams

• Exhibits exceptional attention to detail and strong communication skills

• Drives outcomes in a fast-paced, distributed, and complex environment

• Builds and maintains effective working relationships across businesses and support functions

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 closely with business leaders and cross-functional teams 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 $110,000-$222,000 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.

Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please consult with your recruiter for the specific expectations for this position.

Certifications:

Category:

Risk