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Senior Audit Manager (Brokerage)

Boston

Permanent - $110000 / 130000

Global Fund Manager

Added on 08/21/2008

About the company
Senior Audit Manager - Brokerage Institutional Products Group
The Brokerage Institutional Products Audit group provides coverage for the retail brokerage, institutional brokerage and capital markets businesses, including correspondent, clearing and other services provided by Fidelity's Operations and Services Group. Brokerage Institutional Products audit also covers investor centers and all Fidelity Offices of Supervisory Jurisdiction for legal and regulatory compliance.
As capital markets continues to grow with increasing complexity, the Senior Audit Manager is required to posses in-depth, specialized expertise in capital markets and remain active in maintaining or advancing the depth and breadth of such expertise. As the capital markets arena is highly regulated, the Senior Audit Manager should also be knowledgeable about SEC and FINRA regulations in conjunction with strong audit skills. The role is based in Boston with expected travel to Fidelity business locations.

Job description
Scope of Responsibility:
Senior Audit Managers consistently lead teams on the most challenging projects within Audit, have significant experience in managing complex matters and demonstrate the potential to take on broader leadership responsibilities within the team.

Possess in-depth, specialized expertise in one or more technical matters (e.g. technology, compliance, financial products, etc.) currently deemed to be of high value to Audit in the accomplishment of its overall mission/objective. Recognized by internal and external peers and others as expert in the pertinent discipline(s) and active in maintaining or advancing the depth and breadth of such expertise.

Core Competency Expectations:
Work Strategically
• Support the strategic direction.
• Develop hypotheses around risks and controls.
• Provide input to the development of the integrated audit plan in conjunction with our external auditors in assigned areas.
• Coordinate Audit activities to ensure that the complex risks identified in the assigned project are properly addressed.
• Use risk analysis techniques to determine areas of focus, develop appropriate audit programs, and recalibrate audit work.
• Deliver results to change the business group's or function's control environment.
• Identify and apply leading edge technology and other tools to improve the audit process and results.

Evaluate Risks and Controls

• Identify changes in both internal and external environment (e.g., regulatory) that will impact risk profile and audit work.
• Communicates regularly with middle to senior management and is able to communication of risk issues to more senior levels of management
• Use risk analysis techniques to determine areas of focus, develop appropriate audit programs, and recalibrate audit work accordingly.

Communicate Issues and Findings

• Consistently identify audit findings/issues that have enterprise-wide implications.
• Draft complete audit reports that provide a clear descr

Who we are looking for
Education/Experience:
• BA/BS in Finance, Accounting, Technology, or related field of study
• Professional audit certifications preferred (e.g. CPA, CIA, CISA, etc.)
• Demonstrated technical abilities in multiple areas (e.g., regulatory, transfer agency, brokerage, financial statements, etc.).
• Mimimum of 6 years prior audit or audit-related experience, preferably in the financial services industry
• Typically three or more years project management experience
• Demonstrated technical abilities across a wide range of topics.
• In-depth knowledge of financial services and/or investment product offerings

What's on offer
Base, Bonus and Equity

Michael Page Contact
For further info, apply or phone on 617-428-3680.
Your application will be sent to Kevin Berube with the reference B2KB1176899 .
Reference : B2KB1176899

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