Job Description:
The Role
We are looking for a highly experienced candidate to join the retail brokerage audit team as an Audit Director. In this role, you will be able to apply your business expertise and risk mindset to deliver high quality audits, as well as continue to expand your knowledge of financial services and coach junior team members. There is no better place to drive solutions for improving internal controls than to operate at the nexus of technology and business with Fidelity Corporate Audit. As an Audit Director working with a team dedicated to Fidelity’s Brokerage and Wealth businesses, you will provide independent and objective audit services that help Fidelity manage risk, improve customer service, and enhance business performance. Our primary motivation is to drive positive change throughout the firm.
The Expertise and Skills You Bring
12+ years of retail brokerage experience; Fidelity Brokerage and Wealth experience preferred
Risk or compliance related experience, internal auditing experience a plus but not required.
Knowledge of applicable laws and regulatory requirements related to broker-dealer, investment advisor, and fiduciary activities
Thorough understanding of internal control concepts, with the ability to evaluate and determine the adequacy of controls considering business and technology risks in an integrated matter.
Undergraduate degree in multiple fields of study accepted.
FINRA licenses and/or audit certifications (e.g., CPA, CIA, CISA) preferred.
Ability to work simultaneously on multiple tasks, lead others to achieve team goals and provide departmental thought leadership.
Strong presentation, written, and interpersonal communication skills.
Commitment to an innovative, collaborative, and digital working style.
Knowledge in IT general controls is a plus.
The Team
As an Audit Director, you will be responsible for leading complex audits independently, including evaluating risk (e.g., operational, regulatory), developing hypotheses around related controls, presenting issues and recommendations to management, and collaborating with stakeholders to devise solutions for business improvements. Responsibilities include and are not limited to:
Work with business and technology management to build a deeper understanding of risks and controls specific to the Fidelity Brokerage and Wealth businesses. Leverage this information to facilitate risk assessment and identify future audit opportunities.
Provide business expertise on audit scoping and lead the execution of multiple concurrent audits.
Engage with the team to offer feedback on work-in-progress, clarify requirements and answer questions, while motivating and influencing team, and being a voice for its members
Lead conversations with business management to describe findings and influence action plans to effectively mitigate identified risks.
Coach and mentor team members.
Develop an ongoing trusted advisor relationship with business, legal, risk, and compliance stakeholders.
Certifications:
Category:
AuditFidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.
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.