Senior Risk Manager - Regulatory Risk

Job Description

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

The Role

The Risk Assessment and Testing Center of Excellence (CoE) is seeking a passionate and hardworking professional to join the team! You will help drive efficiencies in the testing of controls supporting multiple compliance programs by minimizing redundancy and identifying innovative use cases for leveraging testing. You will personify the Fidelity Leadership Principle 'Thinks and Works across Fidelity' by collaborating with multiple Business Units, Risk, and Compliance groups.

We have set standards for performing risk assessments & controls testing and assessing the adequacy and effectiveness of controls, compliance, and governance processes. This position within the CoE team is accountable for maintaining relationships with senior business leaders, leading all aspects of the timely execution of high-quality risk assessments, testing controls, identifying, and mitigating key risks, reporting key performance indicators, and driving innovation. The Senior Risk Manager will also play a key role in leading team initiatives.

• Conduct in-depth risk assessments and promote a strong control environment by documenting robust risk and control statements, identifying potential regulatory gaps, and making sound recommendations for improvement
• Produce working papers that are thorough and succinctly articulate the results of control testing
• Work simultaneously on multiple projects and shift accordingly as priorities change
• Builds strong and inclusive working relationships, in person and virtually, with business partners and colleagues
• Adaptable to new information, changing business priorities, input from others, and lessons learned
• Participate in initiatives to improve existing processes within the Risk team and champion an inclusive team environment
  
  

The Expertise And Skills You Bring

• Bachelors’ Degree or equivalent with 7 years of experience in financial services, risk management, audit, or compliance
• Deep understanding of regulatory requirements applicable to registered investment advisers and registered investment companies
• Understanding of alternative investment products, such as direct lending, crypto, and real estate a plus
• Knowledge of investment management practices and strategies is a plus.
• Confirmed problem solving, analytical, organizational, and project management skills
• Demonstrated ability to lead working groups and maintain collaborative, working relationships internally with business partners
• Thrive in a dynamic organization where priorities shift to respond to business needs
• Advanced skills in Microsoft Office suite of applications, including Visio, Excel, and PowerPoint
• You are accountable for delivering high quality results in an accurate and timely manner
• You are skilled in documenting and maintaining end-to-end process flows
• You are a strategic problem-solver who approaches work with an open mind and sense of creativity by challenging current practices and recommending improvements to mitigate risks and drive positive change
• You possess the ability to build strong and expansive working relationships with internal business partners to inspire change, improve the efficiency and effectiveness of risk management processes
• You have excellent verbal and written communication skills
  
  

Certifications

Category:

Investment Operations

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. Some roles may have unique onsite requirements. Please consult with your recruiter for the specific expectations for this position.

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.