Director of 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.

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

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, we have been recognized by our employees as a top 10 Best Place to Work in 2024. 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.

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 all business days of every other week in a Fidelity office.

At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation, detailed in this document, and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.

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 Accommodation Team by sending an email to accommodations@fmr.com.

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