Operational Risk Officer overseeing Key Private Bank’s Wealth Management business. Providing guidance on legal, regulatory, and operational risk issues with a focus on risk assessment and mitigation strategies.
About the role
- Director of Brokerage Risk at Fidelity advising on operational risks and governance. Leading a team to support risk management across diverse brokerage services and client initiatives.
Responsibilities
- 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
- 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
Requirements
- 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)
Benefits
- comprehensive health care coverage
- emotional well-being support
- market-leading retirement
- generous paid time off
- parental leave
- charitable giving employee match program
- educational assistance including student loan repayment
- tuition reimbursement
- learning resources to develop your career
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