Director Technology Risk FCC

4 weeks ago

Ottawa, Canada Fidelity Canada Full time

You will be working on a flexible hybrid schedule as part of Fidelity’s dynamic working arrangement.

Who We Are

At Fidelity, we’ve been helping Canadian investors build better financial futures for over 35 years. We offer individuals and institutions a range of trusted investment portfolios and services - and we’re constantly seeking to find new and better ways to help our clients. As a privately owned company, we boldly embrace innovation in all areas as we continue to grow our business into the future.

Working with us means you’ll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. You’ll have a wide range of opportunities to grow and develop your career in an inclusive environment where you’ll feel valued and supported to be your best - both personally and expertly.

Business Overview

Fidelity Clearing Canada (FCC) is the leading independent clearing broker and custodian in the Canadian market. We provide trade execution, clearing, custody and back-office support services to Canadian-based brokerage firms and the Canadian brokerage arms of U.S.-based firms. Fidelity Clearing Canada’s core values for solution delivery are centered around transparency, leadership, and collaboration.

What You Will Do

The Director, Technology Risk, FCC is a key role overseeing the Fidelity Clearing Canada (“FCC”) risk function within the technology group and is responsible for identifying and monitoring risks arising in connection to the use, architecture and operation of technology at FCC. This role will provide strategic direction and vision for the Risk function within technology, oversee and continually develop the technology components of the overall FCC risk management framework, related policies and processes, ensuring they meet business and regulatory expectations.

This role will coordinate with the Chief Risk Officer of FCC and the Risk functions within Fidelity Canada and Fidelity International Limited and will additionally oversee and coordinate the external technology audits for FCC including CASE3416 and SOC audits. The Director, Technology Risk Officer will be a leadership role within the FCC technology group supporting the growth of FCC and promote and protect the reputation and effectiveness of FCC through the continued development of critical risk programs in conjunction with other business stakeholders.

  • Lead and build the technology deliverables of FCC’s Risk Framework to ensure continual development, communication and success of FCC’s Risk Management program.
  • Develop regular reporting to each of Senior Management, the Risk and Controls Committee and the Audit Committee of the Board on the status of FCC's Risk Programs as required.
  • Lead or participate in cross Fidelity projects, ensuring technology and operational risks are properly assessed.
  • Ensure new risk programs/initiatives and changes to existing programs are communicated effectively across the technology group and that appropriate training is provided where required.
  • Lead the FGC vendor management program for FCC technology vendors, ensuring appropriate governance is occurring based on Fidelity Canada guidelines and policies.

What We Are Looking For:

  • Completed University Degree or equivalent work experience.
  • 7+ years of experience in risk management and risk programs.
  • 5+ years of experience at the management level.
  • Prior experience in a compliance and back-office operations role.
  • Prior experience in Technology compliance role.
  • Good knowledge of SQL/database Platform knowledge.
  • Professional designation or certificate in audit, risk management or internal control.
  • Completed or in the process of completing CSC or IFIC, and CA designation is an asset.

The Skills You Bring:

  • A strong ability to communicate (written and verbal).
  • A strong sense of accountability and taking initiative to drive projects to completion.
  • Emphasis on risk and audit with an inquiring mind.
  • Knowledge and understanding of clearing firm regulatory obligations, Canadian brokerage industry and brokerage operations, including the impact of technology on this market.
  • Experience managing projects and scaling processes with company growth.
  • Ability to collaborate and influence across all levels of the organization.
  • Strong influencing skills. Gains acceptance of ideas and suggestions from business partners.
  • Strong knowledge and understanding of the Canadian regulatory environment, CIRO rules and regulations, OSC and other provinces and territories.
  • Ability to plan, monitor, control projects, ensuring efficient utilization.

Current work authorization for Canada is required for all openings.

Fidelity Canada is an equal opportunity employer

Fidelity Canada is committed to fostering a diverse and inclusive workplace. We will consider all qualified applicants for employment regardless of race, color, religion, sex, sexual orientation, gender identity or expression, national or ethnic origin, age, disability, family status, protected veterans’ status, Aboriginal/Native American status or any other legally-protected ground.

Accommodation during the application process

Fidelity Canada welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in the selection process. If you require an accommodation, please email us at FidelityCanadaStaffing@fidelity.ca.

No telephone inquiries or agencies please. We thank all applicants for their interest; please be advised that only those selected for an interview will be contacted.

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