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Manager, Risk Operations

4 months ago

Westlake, United States Fidelity TalentSource LLC Full time



Job Description:

Position Description:

Conducts risk assessments -- detailing controls, identifying potential gaps and/or inconsistencies, and making sound recommendations for improvement and/or mitigation -- in alignment with regulatory guidelines. Modernizes risk management and tests using data investigation. Discovers solutions to address testing and oversight requirements. Ensures compliance with laws and regulations relating to operational risks. Applies new technology-based solutions to the systems testing processes. Applies sound judgment to recognize systems issues, assess risks, and identify items requiring escalation. Designs and implements strategies that utilize analytics techniques, tools, and methods.

Primary Responsibilities:

  • Conducts risk assessment, control testing, and compliance related work.
  • Communicates assessment findings to partners and finalizes remediation timelines.
  • Promotes regulatory risk management by building relationships and creating awareness about the risks facing business partners.
  • Builds successful partnerships with key collaborators.
  • Advances data analytics strategies and use of digital technologies to support risk assessments and activities.
  • Presents overall Operation Controls/Governance status and action plans to remediate issues to senior management.
  • Collaborates across teams to optimize support provided to the business.
  • Develops innovative solutions to enhance controls testing.
  • Manages multiple projects or activities.
  • Delivers results in an accurate and timely manner.

Education and Experience:

Bachelor s degree (or foreign education equivalent) in Cybersecurity, Computer Science, Engineering, Information Technology, Information Systems, Mathematics, Physics, or a closely related field and three (3) years of experience as a Manager, Risk Operations (or closely related occupation) performing IT audit, regulatory compliance, and risk management in a financial services environment.

Or, alternatively, Master s degree (or foreign education equivalent) in Cybersecurity, Computer Science, Engineering, Information Technology, Information Systems, Mathematics, Physics, or a closely related field and one (1) year of experience as a Manager, Risk Operations (or closely related occupation) performing IT audit, regulatory compliance, and risk management in a financial services environment.

Skills and Knowledge:

Candidate must also possess:

  • Demonstrated Expertise (\u201CDE\u201D) testing and accessing the business control environment for controls related to Market Access Rule 15c3-5, SEC Rule 17a-5, and FINRA Rule 3120 Supervisory Control System: and performing end-to-end control testing using Actimize, CAPTure, Archer, and Tableau.
  • DE performing Risk and Control Testing building and testing the internal control testing methodology for regulatory based testing, using Archer GRC; creating, communicating, and tracking action plans using Archer; and tracking trends and performing root cause analysis using Data Analytics and Cross Program Synergies.
  • DE identifying breaches of regulatory required activities to drive frameworks that promote business partner transparency and accountability, using Actimize, CAPTure, and Alteryx; and identifying enhancement/improvement opportunities to maximize control effectiveness and mitigate key risks, using Snowflake
  • DE streamlining and automating control testing processes by implementing front-end Web-based tools that remove manual processes of data gathering, filtering, cleaning, and analyzing data, using SQL Developer, Alteryx, and Snowflake; and tracking Key Risk Indicators (KRI) to identify trends and take action to mitigate risks, using a KRI dashboard.

#PE1M2





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\u2014we offer a range of opportunities for learning so you can build the career you ve always imagined.

Fidelity's working model blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).

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.