IT Audit Manager – Brokerage Technology

Job Description: Are you looking for a position that will leverage and grow your technology skills, expand your knowledge of the financial and brokerage services business, and give you the opportunity to problem solve with some of the best minds in the financial services and technology industries?

There is no better place to drive value-added solutions for improving internal controls than to operate at the nexus of technology and business as a technology auditor at Fidelity Investments.

In this position you are primarily responsible for executing complex and emerging technology audits or integrated audits in support of various Fidelity Brokerage Services and related businesses.

Key areas of focus include technology functions supporting portfolio management and trading, investment compliance, middle office and back office functions, as well as cross-complex audits relating to technology, operational and regulatory risk.

You will collaborate with peers to support the business integrated and technology led audit plan and contribute to the execution of broader enterprise IT audit projects such as Cybersecurity, Cloud Computing and Digital Infrastructure, and drive positive change across the firm.

The Team 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 Deliver value by enhancing the existing controls and enterprise security frameworks to adapt to a continuously changing environment Providing audit advisory services on new and changing products and systems Developing talented professionals for audit and leadership positions Our primary motivation is to drive positive change throughout the firm.

The Information Technology Audit group is responsible for providing the specialized IT audit skills required to assess and evaluate controls over Fidelity’s corporate-wide systems infrastructure environment and system development efforts in support of Fidelity’s businesses.

The Expertise You Have BA/BS in Technology, Information Systems or related field of study.

Professional audit or information security certifications preferred (CIA, CPA, CISA, CISSP, SANS GIAC, etc.).

5-7 years of experience in performing and leading information technology audits, preferably financial services (i.e., asset management, brokerage, and/or insurance) Strong technical problem solving and data analytical skills Team player who takes initiative and works constructively with others to achieve team goals Ability to work on multiple tasks and manage priorities and workload as part of an agile scrum team Strong presentation, written, and interpersonal communication skills Strong knowledge in emerging technologies such as cloud technologies, emerging brokerage technology, etc.

The Skills You Bring Your demonstrated technical abilities and knowledge across a wide range of topics including: Managing and performing risk and data analysis audits for compliance with regulations, drafting audit reports and liaising with and reporting to senior executives on audit results and corrective actions Auditing across large scale investment organization, performing risk and data analysis, delivering high quality audit reports and communicating to senior executives on results and corrective action.

Fostering high performance, continuous learning and collaborative interactions within an Agile Scrum team of audit professionals Deep audit risk and control experience in general and application control environments, including identity and access management, Dev(sec)ops and CI/CD, incident analysis and trending, database security, operating system analysis, logging and monitoring and change management.

Knowledge of financial services and/or relevant technologies supporting brokerage, regulatory transfer agency, financial statements.

Preferred to have demonstrable hands-on skills or knowledge for various technology areas such as Information Security Topics (Identity and Access Management, Authentication Services, DevSecOps, etc.), Operating Systems (UNIX/Linux, Windows, Mainframe), Cloud Technologies (AWS, Google, Azure, Openstack, etc.), Big Data environment (Hadoop, Splunk, ELK, etc.), Networking Technologies (SDN, Firewalls, Proxies, etc.), Database Systems (Oracle, DB2, SQL Server, etc.).

Working knowledge or hands-on skills with various Programming/Scripting Languages (Python, Powershell, Java, etc.), and Audit testing tools The Value You Deliver As the Technology Audit manager, you will be responsible for performing audits, evaluating risks (technology, financial, reputational, and regulatory), testing controls designed to mitigate risk, communicating issues and findings to management, devising solutions for business improvements, and following-up on corrective actions.

You will need to work effectively in a team setting in order to: Support plan and execution of multiple concurrent IT audits, including reviews of cyber security, existing production applications, systems currently being developed, technology infrastructure and specialized or emerging technologies.

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

Assess the controls over application processes, physical and logical security; systems acquisition and development; system and network infrastructure; system architecture; change management; computer operations; and production support.

Develop data analysis and apply leading edge and other 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 Internal Audit business unit colleagues to ensure timely and consistent controls advice.

Travel (15% annually) to execute audits, and to attend training and corporate events.

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 an agile 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 Onsite fitness and wellness centers as well as company subsidized healthy meal options at our onsite cafeterias Certifications:Category:Audit Company Overview 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.

We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experiences.

For information about working at Fidelity, visit FidelityCareers.com.

Fidelity Investments is an equal opportunity employer.