The Expertise WeLooking For

• BA/BS in Accounting, Finance, or related field of study
• Specific Broker/Dealer Audit or examinations experience strongly preferred.
• 3-8 years of external and internal audit (preferably financial services) experience or audit-related brokerage industry experience.

The Purpose of Your Role

Corporate Auditxaminations Team is responsible for conducting examinations across all of Fidelityroker/dealers, which include Fidelityetail and workplace investing Investor Centers and Phone Sites, as well as Fidelitynstitutional and distribution organizations, capital markets trading desks, marketing groups, retail insurance sales, and other business groups.

The Skills You Bring

• Strong regulatory and business knowledge, analytical and problem-solving skills.
• Strong presentation, written, and interpersonal communication skills
• Ability to work on multiple tasks and manage team priorities and workload
• In-depth knowledge of audit practices, tools, techniques, concepts, and trends
• Team player who works constructively with others to achieve team goals

The Value You Deliver

• Conduct on-site visits to offices registered with Fidelityroker/dealers, conducting internal reviews in support of annual examination requirements.
• Mentor audit staff in areas to develop a broader skill base and level of understanding of risks.
• Interview business unit principals and representatives and document results.
• Identify and analyze risks through fieldwork, research, and preparation of formal reports.
• Develop standardized examination programs for retail branches and institutional offices as well as develop and execute targeted audits of other groups.
• Identify areas for control improvement and work with management to develop solutions.
• Develop presentations for delivery within Corporate Audit as well as to Senior Client Management.
• Respond to special requests from Senior Management.
• Participate in and provide control guidance to management initiatives.
• Participate in risk assessment and development of Annual Audit Plan.
• Integrate/coordinate and conduct projects with other internal and external audit teams including PricewaterhouseCoopers.
• Develop a strong relationship with clients to help manage risks proactively.
• Travel is required up to 35% of the time.

How Your Work Impacts the Organization

The Sr. Audit Exams Analyst / Manager works on an audit team with responsibility for evaluating risks and controls, conducting audit reviews, communicating issues and findings to local and senior management, devising solutions for business improvements, and following-up on remedial action plans. Completes tasks independently and frequently leads projects, giving feedback to less-experienced team members. Scope of work is broadly defined within a specific business and typically involves more complex processes or issues. Additionally, the Audit Manager will be responsible for helping to review the work of other team members to help ensure the accuracy and quality of examinations performed.

Qualifications

At Fidelity, we are focused on making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. For information about working at Fidelity, visit FidelityCareers.com

We have openings in our Boston, MA, Covington, KY, Jersey City, NJ, and Westlake, TX offices.

Fidelity Investments is an equal opportunity employer.