Job Description:

As a FI Clearing Escalation & Documentation Manager, you manage policy & procedural exceptions, advocate for process improvement, and produce client-facing documentation and resources.  The day-to-day role is split between reactive, exception-management and proactive, process improvement. 

The Team 

Fidelity Institutional Client Experience Division (CE) provides superior customer service to Fidelity's Clearing correspondent broker-dealer clients through innovation, dedication, and commitment to excellence. The EDM ensures exception requests are resolved quickly, root cause is identified and addressed, and policy & procedures are properly documented.

The Expertise You Have 

·         3+ years Brokerage Operations and/or Service experience 

·         Client facing experience highly preferred 

·         Project management experience preferred 

·         Business analysis and consulting experience a plus 

·         Relevant Bachelor’s degree preferred 

·         Series 9/10 license preferred 

The Skills You Bring  

·         Exceptional interpersonal and client service skills 

·         Success in developing strong professional relationships 

·         Problem solving and consultative skills 

·         Ability to manage execution of initiatives  

·         Industry/brokerage knowledge 

The Value You Deliver  

·         Optimize the client service experience by accelerating the review & resolution of policy & procedural exceptions. 

·         Ensure compliance with all relevant laws & regulations; manage the risks for both Fidelity and our clients. 

·         Mitigate exception requests by addressing root cause.  Identify opportunities to eliminate exception requests through process improvement.  Manage process improvement initiatives to completion.

·         Document policy & procedures to eliminate ambiguity.

·         Create client reporting & contribute content to the Quarterly Service Review.

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(opens in a new tab), we have been recognized by our employees as a Best Place to Work in 2022. 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.

As a result of COVID-19, many of our associates are continuing to work remotely. When Fidelity employees eventually return to the office, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we’re calling “Dynamic Working(opens in a new tab).”

We invite you to Find Your Fidelity at fidelitycareers.com.

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 Leave of Absence/Accommodation Team by sending an email to accommodations @fmr.com, or by calling 800-835-5099, prompt 2, option 2.