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Independent Testing Specialist

About this role:

The Wealth and Investment Management Testing & Validation (WIM T&V) team, under Independent Testing & Validation (IT&V), is seeking an experienced compliance or audit professional to join the Team. The Independent Testing Specialist role will be responsible for control testing to ensure compliance with regulatory requirements and corporate policies, in alignment with the Risk Management Framework and according to standards in the Independent Monitoring, Testing and Validation Policy and other applicable policies . This position reports to an Enterprise Testing Manager or Senior Manager. Learn more about the career areas and lines of business at

In this role, you will:

  • ​Execute group-specific control testing in accordance with T&V methodology and standards, including assessments of design and operating effectiveness

  • Participate as a tester or co-lead on reviews of varied complexity and regulatory risk exposure

  • Evaluate the adequacy and effectiveness of policies, procedures, initiatives, and internal controls

  • Thoroughly document test work and reports

  • Identify issues and communicate/consult with various levels of management to ensure corrective actions address root cause and meet corporate sustainability requirements

  • Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedure concerning all compliance functions reviewed

  • Testing practices will include: regulatory control testing, operational control testing, and corrective action validations.

Required Qualifications, US:

  • 2+ years of Independent Testing experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Des ired Qualifications:

  • Experience in Audit, Compliance, Risk and Testing

  • Critical Thinking and Analytical skills

  • Intermediate Microsoft Office skills

  • Excellent verbal, written, and interpersonal communication skills

  • Strong analytical skills with high attention to detail and accuracy

  • Ability to interact with all levels of an organization

  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

  • Post-Secondary degree in business administration, economics, accounting, finance, or other business related field

  • Knowledge and understanding of financial services industry: compliance, risk management, or audit operations

  • Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; and identifying issues resulting from internal and/or external compliance examinations

  • 2+ year of formal/direct audit or regulatory control testing experience

  • 2+ year of Big 4 or regional firm public accounting experience

  • Ability to think independently and bring credible challenge to the risk management status quo

  • Exposure to wealth investment management or fiduciary businesses

  • Certified Internal Auditor (CIA)

  • Certified Public Accountant (CPA)

  • Chartered Financial Analyst (CFA)

Job Expectations:

Posting locations:

  • Charlotte, NC

  • Fort Mill, SC

  • Minneapolis, MN

  • Saint. Louis, MO

Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered for current Wells Fargo employees

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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