Director, Management Controls

Job Description:

The Role

Fidelity’s Capital Markets - Business Control Group ensures that controls function as expected and that improvements are identified and implemented in a timely manner. We are a control consulting function aiming to enhance the management process, working daily with all levels of management and business functions. We assist oversight groups in evaluating activities and help management understand and address issues promptly. Additionally, we define Supervisor’s requirements for the FCM supervision modernization initiative, leading the product development and testing process through implementation.

The Expertise and Skills You Bring

• Supervision System Support: Support the supervisory application, including ongoing activities, process improvements, and documentation. Utilize data analysis to enhance business processes. Assist desk heads in ensuring effective supervision and act as a product lead for the FCM supervision initiative using an agile approach.
• Security Initiative: Perform control checks, identify issues and process improvements, and manage exceptions to help the business implement enhancements.
• Oversight Coordination and Management Reporting: Coordinate with oversight groups to ensure effective coverage of FCM, follow up on issues, and implement corrective actions to mitigate business risks.
• Task Execution: Under the direction of a Vice President, address individual issues, execute controls until process deficiencies are corrected, and ensure timely completion of tasks to meet identified objectives.
• Self-Starter: Ability to work independently with limited guidance, adhering to agreed timelines and expectations.
• Relationship Management: Effective skills to collaborate with associates and management for successful outcomes.
• Business Controls: Advanced understanding of business controls, organizational concepts, control /. Security frameworks, Broker/Dealer supervision. or Knowledge of Agile development is beneficial.
• Analytical Skills: Ability to quickly identify critical components of a function, differentiate root causes from symptoms, and perform data analysis (Excel or higher-level tools).
• Communication Skills: Strong ability to disseminate messages effectively.
• Knowledge of COBIT/COSO is a plus, but not required

The Team

Fidelity Capital Markets (FCM) is the institutional trading arm of Fidelity Investments providing trading, products and services to a wide array of clients and Fidelity businesses. For more information about Fidelity Capital Markets please visit www.fidelitycapitalmarkets.com

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

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Category:

Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.

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.