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Job Details

Sr. Audit Analyst/Manager

Company name
Fidelity Brokerage Services LLC

Boston, MA
12 hit(s)  


Boston, MA, USA

Job Type:

Permanent, Full time


Fidelity Investments

Posted on:

14 Feb 18


Sr. Audit Analyst/Manager

The Expertise

We're Looking 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 Audit's Examinations Team is responsible for conducting 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.

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 Fidelity's broker/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.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

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

Fidelity Investments is an equal opportunity employer.

Company Profile
Fidelity Investments has a rich and proud history. From our roots as a small mutual fund company, Fidelity has grown to become a leading provider of a wide range of services, including investment management, retirement planning, brokerage, and human resources and benefits outsourcing services.

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