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Senior IT Financial Controls Analyst

About this role:

Wells Fargo is seeking a Senior IT Financial Controls Analyst within the Enterprise COSO testing team.

The Enterprise Finance function contains the Corporate Controllers division, which includes the Enterprise Controls & Oversight (EC&O) group. The Enterprise COSO testing team is a component of EC&O. Enterprise COSO testing professionals will have enterprise-wide exposure to key stakeholders within the external financial/risk/regulatory reporting infrastructure.

The Enterprise COSO testing team supports the company’s on-going objective of maintaining an industry-leading information technology control environment and is responsible for the following directives: 

  • Providing meaningful assessments of business process automated controls in scope for financial, risk, and regulatory reporting

  • Assessing compliance with Well Fargo & Company’s COSO based policies for business process automated controls in scope for internal controls over financial reporting (SEC and Regulatory Reporting) and strategic planning for on-going application control compliance with COSO policies (proactive anticipation of internal control related matters)

  • Monitoring new and emerging internal control related guidance and issues and assist with facilitating group-wide training to interested and impacted stakeholders

  • Providing consultation and subject matter expertise for process and control related matters including evaluating severity of control deficiencies and related remediation efforts

  • Providing process and control support and thought leadership for projects

  • Interfacing with external auditors, regulators and others on control related matters

  • Acting as a change agent for continual improvement of the control environment.

In this role, you will:

  • Consult with IT, the line of business and/or enterprise functions on financial reporting, information technology governance, and controls and oversight matters

  • Identify compliance and risk management requirements for supported line of business area

  • Support implementation of key risk initiatives

  • Plan, execute, or provide oversight for control testing and monitoring involving complex subject matter or control areas

  • Provide technical interpretation on various matters

  • Communicate and provide consultation regularly with stakeholders throughout the enterprise

  • Implement, operate, and report results of complex components of the company's policy, governance and oversight framework

  • Lead implementation of complex projects and initiatives impacting one or more lines of business, risk types, or control matters

  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

  • Perform the following for Business Process Automated Control testing: 

    • Lead walkthroughs of significant processes to ensure required COSO documentation (including narratives and process flow diagrams) is accurate

    • Assess the appropriateness and completeness of key risks and key controls identified

    • Validate and provide credible challenge to identified shared services, third-party service providers, and significant applications

    • Perform COSO control testing of key business process automated controls, including design effectiveness assessments and operating effectiveness testing

    • Validate and challenge documentation of control deficiencies, including issue description, root cause, unmitigated impact, and corrective actions

    • Analyze the severity of control deficiencies and their impact to internal control over financial reporting

    • Validate corrective actions and issues

  • Build relationships and collaborate with key stakeholders in the SEC and Regulatory Reporting internal control infrastructures

  • Assign and review the work of Financial Control Analysts; and 

  • Assist with projects impacting the team, including identification of risks and consulting on controls for newly implemented processes and applications

Required Qualifications:

  • 4+ years of Finance, Accounting, Analytics, Reporting or Business and Technology Audit experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

  • Experience assessing and documenting financial and/or regulatory risks and controls

  • Internal controls testing experience specifically with automated controls

  • Experience identifying business process automated controls and developing and executing test plans for business process automated controls, including segregation of duties, configurations, and interfaces

  • Experience partnering with financial and IT audit teams on integrated audits

  • Experience with large professional services firms

  • Experience with large financial institutions

  • Excellent verbal, written, and interpersonal communication skills

  • Ability to present results of analyses and recommendations

  • One or more of the following certifications: CPA, CIA, CISA

  • Knowledge and understanding of regulatory agencies:  Federal Reserve and OCC

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, status as a protected veteran, or any other legally protected characteristic.

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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Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

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