Fidelity Investments
Covington, KY
Job Title
Audit Director
Are you looking for a position to grow your business and auditing skills, expand your knowledge of financial services, and give you the opportunity to problem solve with some of the best minds in the industry? 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 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.
BA/BS in Accounting, Finance, or related field of study.
Professional audit certifications (e.g., CPA, CIA, CISA) and/or registration/licensing preferred.
12 plus years of external and internal audit or related experience, preferably in financial services.
Strong knowledge of financial crimes regulatory requirements (e.g., anti-money laundering, global sanctions, anti-corruption) impacting Fidelity’s broker-dealer and fund product offerings and service
Ability to work simultaneously on multiple tasks and lead team priorities and workload.
In-depth knowledge of audit practices, tools, techniques, concepts, and trends
Teammate and leader who works constructively with others to achieve team goals and provide departmental thought leadership
Strong problem solving and analytical skills
Commitment to an innovative, collaborative, and digital working style
Strong presentation, written, and interpersonal communication skills
Hands-on work style and ‘can do’ attitude with a strong desire to make things happen
Knowledge in IT general controls is a plus
Audit Director leads multiple complex audits end-to-end in support of various Fidelity businesses. You will be accountable for determining scope, executing complex testing, reviewing workpapers, and coordinating with other risk and compliance functions to deliver value to Fidelity through the audit services provided by you and a team of multi-disciplined auditors. Working with Audit Leadership, you will ensure alignment of the audit’s objectives to the Audit Group’s priorities and strategy, deliver high quality audit results, and contribute to other Audit Group and department initiatives. Responsibilities include and are not limited to:
Works with business and technology management to build an understanding of complex functions
Reviews end-to-end business processes and supporting technology workflows prepared by the team to ensure they capture risks and controls embedded throughout the function
Ensures project audit scopes capture highest risk areas and include thoughtful test suites to identify potential control gaps/improvements
Works with the Team Leader to prioritize workload and resources and resolve blockers to progress
Performs and reviews audit test work including organizing and analyzing data, testing controls and documenting results
Leverages audit automation tools in the evaluation of business operations and systems
Directs the use of strategic and data analytics concepts, principles, and techniques to more efficiently and effectively identify control deficiencies
Reviews audit reports drafted by the team to ensure issues identified, including resulting management action plans, are clearly described and include related implications to the business or enterprise as a whole
Lead team conversations with business/technology management to describe findings and influence action plans to effectively mitigate identified risks
Coaches and mentors associates of all levels in the team
Builds deep working relationships with both audit teams and our business partners
Fidelity’s Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
Audit
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.