Audit Senior Analyst, Agile Auditor – Branch Examinations

Audit Senior Analyst, Agile Auditor – Branch Examinations As an Audit Senior Analyst on the Branch Examinations Squad, you will provide independent and objective audit and advisory 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 We’re Looking For: BA/BS in Business, Finance, Accounting, or related field of study 3-5 years of brokerage business experience, examinations/audit experience, or audit-related experience preferably in financial services Professional audit or brokerage certification preferred (e.g.

Series 7) Strong problem solving and analytical skills Ability to work on multiple tasks and manage priorities and workload as part of an agile team Strong presentation, written, and interpersonal communication skills Regulatory broker knowledge (e.g., FINRA 3110) The Purpose of your Role Fidelity’s Corporate Audit group provides independent and objective audit and advisory services that enhances Fidelity’s business performance, manages risk, and ultimately improves overall customer service.

Corporate Audit’s Examinations Squad is responsible for conducting risk-based examinations across all of Fidelity’s broker/dealers, which include Fidelity’s retail and workplace investing investor centers and phone sites, as well as Fidelity’s institutional and distribution organizations, capital markets trading desks, marketing groups, retail insurance sales, and other business groups.

Conduct site visits to offices with Fidelity’s broker dealers as part of full-filling examination requirements and perform risk-based audits to ensure compliance with internal and regulatory requirements.

Partner with management, Compliance and Global Security to facilitate the identification and resolution of risk and audit issues.

Utilize data analytics and audit automation tools in the evaluation of business operations and systems.

The Skills You Bring Knowledge of the Personal Investing and/or Institutional brokerage business including product offerings and services.

Familiarity with relevant industry regulations and requirements (e.g.

FINRA, SEC).

Strong presentation, written and interpersonal communication skills.

Ability to work simultaneously on multiple tasks and manage team priorities and workload.

Knowledge of audit, examination and/or compliance practices, tools, techniques, concepts, and trends.

Team player and leader who works constructively with others to achieve team goals and provide departmental thought leadership.

Hands-on work style and ‘can do’ attitude with a strong desire to make things happen.

The Value You Deliver As an Auditor Senior Analyst, you will be responsible for performing branch examinations and audits, evaluating risks (financial, reputational, and regulatory), testing controls designed to mitigate risk, communicating issues and findings to management, and devising solutions for business improvements.

Responsibilities include: Support, plan and execute branch (e.g., investor and regional center) examinations and audits.

Identify and assess risks (business and regulatory) and to provide advice to management regarding mitigation of these risks.

Develop data analysis and leverage 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 Corporate Audit business unit colleagues to ensure timely and consistent controls advice.

Travel Required (30% annually) to execute site examinations.

How Your Work Impacts the Organization Our primary motivation is to drive positive change throughout 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 Providing audit advisory services on new and changing products and systems Developing hardworking professionals for audit and leadership positions What will you receive from us?

Ongoing training and personal development time to prepare you for long-term career growth and success Ongoing coaching and feedback from your direct manager, including career development guidance Access to cutting edge tools and technology Opportunity to work in a team environment, with a culture of collaboration, partnership and sharing of ideas Access to a variety of employee resource groups and volunteer opportunities within the local community Networking opportunities with Fidelity leaders and colleagues across the organization and region

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