Are you looking for a position that will leverage and grow your audit skills, expand your knowledge of the financial and brokerage services business, and give you the opportunity to problem solve with some of the best minds in the financial services and technology industries? There is no better place to drive value-added solutions for improving internal controls than to operate at the nexus of business and technology as an auditor at Fidelity Investments.
In this position you are primarily responsible for executing complex integrated audits in support of various Fidelity Brokerage Services and related businesses. Key areas of focus include supporting trading, investment compliance, middle=office and back office functions, as well as cross-complex audits relating to brokerage technology, operational and regulatory risk. You will collaborate with peers to support the business integrated and technology led audit plan to drive positive change across the firm.
Fidelity Corporate Audit provides independent and objective audit and advisory services that help Fidelity manage risk, improve customer service, and enhance business performance.
This mission is accomplished through:
- Assessing the adequacy and effectiveness of controls, risk management, compliance and governance processes
- Reporting on issues and solutions that improve Fidelity’s control environment
- Responding to change with a sense of urgency through continuous risk assessment and resource allocation
- Deliver value by enhancing the existing controls and enterprise security frameworks to adapt to a continuously changing environment
- Providing audit advisory services on new and changing products and systems
- Developing talented professionals for audit and leadership positions
The Expertise You Have
- BA/BS in Business, Finance, Accounting, Technology, Information Systems or related field of study.
- Professional audit or information security certifications preferred (CIA, CPA, CISA, Series 7 etc.).
- 5-9 years of experience in performing and leading audits, preferably financial services (i.e., brokerage)
- Strong technical problem solving and data analytical skills
- Team player who takes initiative and works constructively with others to achieve team goals
- Ability to work on multiple tasks and manage priorities and workload as part of an agile scrum team
- Strong presentation, written, and interpersonal communication skills
- Strong Brokerage Knowledge
The Skills You Bring
Your demonstrated technical abilities and knowledge across a wide range of topics including:
- Managing and performing risk and data analysis audits for compliance with regulations, drafting audit reports and liaising with and reporting to senior executives on audit results and corrective actions
- Auditing across large scale investment organization, performing risk and data analysis, delivering high quality audit reports and communicating to senior executives on results and corrective action.
- Fostering high performance, continuous learning and collaborative interactions within an Agile Scrum team of audit professionals
- Deep audit risk and control experience in general and application control environments, including identity and access management, incident analysis and trending, database security, and change management.
- Knowledge of financial services and/or relevant technologies supporting brokerage, regulatory transfer agency, financial statements.
- Working knowledge or hands-on skills with various Programming/Scripting Languages (Python, SQL, etc.), and Audit testing tools
The Value You Deliver
As an Audit manager, you will be responsible for performing audits, evaluating risks (technology, financial, reputational, and regulatory), testing controls designed to mitigate risk, communicating issues and findings to management, devising solutions for business improvements, and following-up on corrective actions. You will need to work effectively in a team setting in order to:
- Support, plan and execute multiple concurrent audits.
- Identify and assess complex risks (both business and technological) and to provide advice to management regarding mitigation of these risks.
- Develop data analysis and apply leading edge and other automated tools to provide management with proper context of potential exposure and loss of business due to control weaknesses.
- Develop an ongoing "trusted advisor" relationship with audit clients and Internal Audit business unit colleagues to ensure timely and consistent controls advice.
- Travel (10% annually) to execute audits, and to attend training and corporate events.