Graham Shaw
Cumberland,RI
Summary
Accomplished at Fidelity Investments, I excel in advanced analytics and operational modeling, enhancing data governance and quality. My leadership in risk assessment and business process mapping drove significant improvements, notably recognized with the National Financial Reach Higher award. My proactive approach and analytical prowess have consistently delivered impactful business solutions.
Overview
24
24
years of professional experience
1
1
Certification
Work History
Senior Manager, Business Intelligence
Fidelity Investments
01.2001 - Current
- FCMONE Application Support: Provide technical support for the FCMONE application, ensuring its smooth operation for the business line and supporting groups within Fidelity Capital Markets
- This includes troubleshooting issues, maintaining system performance, and managing user access
- Data Metrics Delivery: Work closely with the business line and supporting groups to deliver superior data metrics
- This could involve creating custom reports, analyzing data trends, and providing insights to help drive business decisions
- Problem-Solving: Use a decisive and creative approach to solve business problems and needs
- This involves understanding the business requirements, designing solutions, and implementing them in a way that is consistent with policies, procedures, and data governance standards
- Process Improvement: Function as a key change agent by identifying opportunities for automation and more efficient workflows
- This could involve streamlining business processes, implementing modern technologies, or re-engineering existing processes to improve efficiency and effectiveness
Risk Manager, Risk Assessment-Financial Analysis
Fidelity Investments
01.2019 - 01.2021
- Risk and Control Assessments: Conduct assessments to ensure that the business segment or function meets corporate standards
- This involves identifying, analyzing, monitoring, and minimizing business risks
- It also includes ensuring that proper control policies and procedures are in place
- Policy Development: Lead and contribute to the development of policies for documenting and analyzing existing control procedures
- This role also manages and coordinates analytical reporting needs to support business unit requirements
- Reporting: Create and maintain both internal and external reports
- This involves facilitating and coordinating with all necessary stakeholders to prepare comprehensive yet concise reports
- Risk Evaluations: Perform evaluations of the firm’s previous handling of risks and compare potential risks with criteria such as costs and legal requirements
- This role is also responsible for establishing and clarifying the level of risk that the company or business unit is willing to undertake
Senior Risk Analyst
Fidelity Investments
01.2012 - 01.2019
- Analyzed and monitoring market and operational risk while prioritizing risk reporting requests across all lines of businesses
- Team Leader in the expansion of effective operational risk measurement methods and analytical capabilities for operational errors and other risk data to understand common root cause and adequacy of preventive action
- Develop process flows and assessments to identify potential risks and / or control gaps
- Develop, modify, and execute policies to ensure effective implementation of operational risk framework and related control activities
- Work with senior leadership to identify risk events, assess financial and operational risks and controls, and support other related trading activities
Business Analyst
Fidelity Investments
01.2007 - 01.2012
- Implementation and Conversion: Responsible for the implementation and conversion of full-service and bank-affiliated brokers to the National Financial correspondent brokerage and clearing platform
- Project Completion: Successfully completed forty-three client projects that ranged in duration from one month to one year
- Operations Analysis: Performed in-depth analysis of all correspondent operations, determined gaps, and provided alternatives
- Enhanced analytical skills and ability to identify and address operational inefficiencies
- Product Deployment and Training: Coordinated the deployment and training of all NF products, including online trading as well as compliance and back-office support tools
- Product Management: As a product manager for NF implementation products, you oversaw FDIC, International, and Hierarchy overview Catapult
- Efforts recognized with the National Financial Reach Higher award in April 2008
- This highlighted my product management skills and ability to deliver results that recognized at the organizational level
Risk Associate
Fidelity Investments
01.2006 - 01.2007
- Responsible for principal review of over 250+ FIIS wholesalers’ email, hardcopy communication and custom presentation to ensure compliance with NASD rules and regulations
Education
Bachelor of Arts - Political Science
Rhode Island College
Providence, RI01.1999
Skills
- Advanced analytics
- Data Governance
- Data Quality Management
- Procedure Development
- Operational Modelling
- Risk Assessment
- Business Process Mapping
- Data Mapping
Certification
- Series 7, FINRA General Securities Representative
- Series 26, FINRA Investment Company/Variable Products Limited Principal
- Series 63, Uniform Securities Agent State Law
Timeline
Risk Manager, Risk Assessment-Financial Analysis
Fidelity Investments
01.2019 - 01.2021
Senior Risk Analyst
Fidelity Investments
01.2012 - 01.2019
Business Analyst
Fidelity Investments
01.2007 - 01.2012
Risk Associate
Fidelity Investments
01.2006 - 01.2007
Senior Manager, Business Intelligence
Fidelity Investments
01.2001 - Current
Bachelor of Arts - Political Science
Rhode Island College
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