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Director, Technology Risk: Lead GRC & IT controls at Fidelity in Westlake.
Drive compliance w/ SOX, GDPR, ISO 27001 while steering audits and cross-functional teams.
Position Description
Develops and implements IT controls (including IT Audit and IT security controls) and strategies to further the protection of customer data. Ensures adequate IT control coverage using Public Accounting (IT Audit) and Controls expertise. Develops an understanding of the IT landscape using IT system, control, and process owners. Manages and develops a team of analysts and ensures comprehensive responses to client technology audits and security assessments. Regularly meets with executives and senior representatives from clients, across all market segments, to discuss the IT control environment, and how the enterprise protects data and retirement plan participant accounts. Discusses and promotes enterprise technology and security capabilities with stakeholders.
Primary Responsibilities
- Supports the development, enhancement, and implementation of Governance, Risk, and Compliance (GRC) tools.
- Develops and maintains risk and control assurance methodologies, policies and control frameworks, and risk register in GRC platform tools.
- Executes and manages certifications in relation to information security standards for the Information Security Management System (ISMS).
- Coordinates and manages the activities of a cross-functional governance forum for the oversight and management of key deliverables for the ISMS.
- Maintains the centralized controls inventory and manages the periodic controls verification/certification process with Control Owners.
- Performs controls normalization to develop a standard set of controls across audits and programs.
- Designs and implements ongoing risk and controls trainings to Control Owners and Managers.
- Provides support for the management of annual enterprise audits.
- Oversees internal and external audit engagements.
- Oversees the IT controls program and identifies control deficiencies and workarounds.
- Supports the development and integration of a centralized platform for risk and controls management.
- Designs, develops, and maintains processes for modules and functionalities.
- Diagnoses, troubleshoots, and resolves hardware, software, or other network and system problems.
- Replaces defective components when necessary.
Education and Experience
Bachelor’s degree in Computer Science, Engineering, Information Technology, Information Systems, or a closely related field (or foreign education equivalent) and six (6) years of experience as a Director, Technology Risk (or closely related occupation) evaluating Information Produced by the Entity (IPE) in a financial auditing environment, using IT general controls, IT application controls, and IT dependent manual controls.
Or, alternatively, Master’s degree in Computer Science, Engineering, Information Technology, Information Systems, or a closely related field (or foreign education equivalent) and four (4) years of experience as a Director, Technology Risk (or closely related occupation) evaluating Information Produced by the Entity (IPE) in a financial auditing environment, using IT general controls, IT application controls, and IT dependent manual controls.
Skills and Knowledge
- DE executing risk assessment audits of large-scale IT systems (including Enterprise Resource Planning (ERP) systems, cybersecurity, and Cloud computing systems); and developing reports and presentations for senior management with recommended mediation and corrective actions, using Archer to mitigate security and financial risk.
- DE performing IT risk assessments and audits to ensure compliance with General Data Protection Regulation (GDPR), SOX 404, and Accounting Standard 606 regulatory requirements; and drafting reports for senior executives on audit results and corrective actions (Security Policy, Access Control, and Change Controls), using access management tools (Access Hub and SailPoint), configuration management tools (ServiceNow), and data analytic tools (PowerBI and Alteryx).
- DE performing application audits, vendor system assessments, and pre and post system implementation assessments according to auditing software development methodologies -- Agile, Scrum, Scaled Agile Framework, and DevOps; and performing technology audits using industry frameworks -- Payment Card Industry (PCI), Control Objectives for Information and Related Technologies (COBIT), National Institute of Standards and Technology (NIST), and ISO 27001.
- DE performing information security audits of data, programs, and source code, using Audit Command Language (ACL) data analytics tool within UNIX/Linux, Windows, and Relational Database Management Systems (Oracle, Sybase and SQL Server) environments.
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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.