Wells Fargo Senior Lead Independent Testing Officer - 

United States, North Carolina, Charlotte 

503315344

About this role:

in Financial Crimes

In this role, you will:

• Manage testing engagements (e.g. targeted reviews, issue validations, RCSA, etc.) across all lines of businesses and functions in the enterprise (e.g. Wealth and Investment Management, Consumer and Small Business Banking, Consumer Lending, Corporate and Investment Banking, Commercial Banking, etc.) in adherence with ITV policies and procedures - providing guidance and oversight to other ITV team members.
• Lead the review team to execute complete, accurate, and timely reviews with high quality.
• Effectively communicate the validation or testing process, status, and results to IT&V leadership, business, and risk partners
• Write and review reports and presentations that clearly articulate the results/conclusions of validation or testing activities.
• Effectively partner and communicate with IT&V, Business, Risk, and other key stakeholder senior and executive leadership and escalate concerns or issues as appropriate.
• Identify and implement efficiencies and process improvements.
• Provide credible challenge and recommendations to Business senior and executive leadership and other key cross functional stakeholders.
• Actively participate in learning & development opportunities to ensure the use of best-in-class processes and procedures.
• Effectively manage change to ensure an effective risk management program.
• Foster relationships with teams and collaborate across all other T&V teams effectively.
• Contribute to large scale planning related to Independent Testing deliverables.
• Review, research, and provide expert credible challenge to moderate and complex financial crimes corrective actions, and follow through on reporting, escalation, and resolution.
• Ensure effective and appropriate testing, validation, and documentation of review activities for risk programs and controls according to standards and other applicable policies, procedures, and tools.
• Resolve complex issues and lead team to meet Independent Testing deliverables while leveraging solid understanding of risk management framework, ITV policies and procedures, ITV engagement model and the risk and control environment.
• Collaborate and consult with colleagues, internal partners, management, and lines of business regarding risk management at various levels.

Required Qualifications:

• 8+ years of Independent Testing experience, or equivalent (e.g., audit) demonstrated through one or a combination of the following: work experience, training, military experience, education.

Desired Qualifications:

• Bachelor’s Degree from accredited university/college in relevant discipline (e.g. business).
• Independent risk and controls testing, Audit, regulatory and risk management experience. Previous public accounting / audit / consulting firm assurance experience a plus.
• Proficient knowledge of law, rules and regulations regarding financial crimes including Anti-Money Laundering (AML), Bank Secrecy Act (BSA), Know Your Customer (KYC), and Sanctions/Office of Foreign Asset Control (OFAC) and Foreign Corrupt Practices Act (FCPA).
• Excellent verbal and written communication, attention to detail and risk analysis skills.
• Experience writing reports for senior leadership audience level.
• Experience in Audit, Compliance, Risk and Testing
• Excellent Critical Thinking, Analytical skills, and attention to detail
• Demonstrated ability to analyze and identify risk and controls issues, and escalate as appropriate.
• Management of full testing lifecycle experience that includes determining scope, test script design, test execution (including sampling methodology), analysis of results to identify gaps or issues, escalation of issues and risks, and documentation of reports with results.
• Issues management, validation, and tracking
• Experience managing testing engagements, preferably of large and complex scope, while leading other testers and resources
• Experience providing substantive “credible challenge” to senior and executive business partners, when necessary, with the ability to lead through influence.
• Effective communicator, both orally and in writing, able to ask well-crafted questions and present ideas in a clear and compelling manner, good listener who engenders creative thinking and teamwork.
• Ability to develop and articulate sound proposals to stakeholders and leaders, and an ability to influence and drive timely decision making.

One or more of the following certifications is desired:

• Certified Anti-Money Laundering Specialist (CAMS)
• Certified Financial Crimes Specialist (CFCS)
• Certified Information Systems Auditor (CISA)
• Certified Internal Auditor (CIA)
• Certified Public Accountant (CPA)
• Certified Regulatory Compliance Manager (CRCM)

Job Expectations:

• This position offers a hybrid work schedule.
• No relocation assistance is provided for this job.
• Ability to work at one of the approved locations in the job posting.
• Ability to travel up to 5%.

Posting Locations:

• Charlotte, NC
• Minneapolis, MN
• St. Louis, MO
• West Des Moines, IA
• Irving, TX
• Tempe, AZ

19 Aug 2024

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.