Director, Management Controls

Job Description:

The Role

Fidelitys 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 Supervisors 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

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

Placement in the range will vary based on job responsibilities and scope geographic location candidates relevant experience and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements the offer package may also include bonus or other variable compensation.

We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support market-leading retirement generous paid time off and parental leave charitable giving employee match program and educational assistance including student loan repayment tuition reimbursement and learning resources to develop your career. Note the application window closes when the position is filled or unposted.

Please be advised that Fidelitys 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.

Most roles at Fidelity are Hybrid requiring associates to work onsite every other week (all business days M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.

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