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Lead Audit Manager

  • Governance & Controls
  • Part time
  • R-327262

About the Business

Wells Fargo Securities Japan (WFSJ) provides a comprehensive approach to the sales, trading, structuring, advisory and execution of a wide variety of financial products focused on the needs of our customers.

About the Role

Statutory Audit is a provider of independent, objective, and advisory services delivered through a highly professional and diverse team. The primary function is to determine if the company’s risk management, systems of control, and governance processes are adequate and functioning as intended. As a business partner, you will make significant contributions to protecting the value of Wells Fargo’s corporate assets. Learn more about the career areas and lines of business at wellsfargojobs.com.

We are seeking for exceptional talent who can demonstrate an appreciation of risks facing international banking operations and experience auditing those risks. The role is a 4-year Fixed Term Contract with working days of 2-3 days a week and 15 hours per week.

Responsibilities

  • Perform regular audits and reviews on the operations conducted by Board members and team members; and advise on any noncompliance issues to mitigate risks
  • Perform audits on Board member’s decisions, board resolutions and outside engagements of Board members
  • Evaluate the results of the Accountant’s audit and the methodology used
  • Perform audits on the internal control system, the whistleblowing system and other communication channels to facilitate team member disclosure of potential compliance issues
  • Review financial audits and internal regulations, make recommendations to improve the policies and process where necessary
  • Maintain a ’no surprises’ environment with business partners as well as with peers and WFSJ management by fostering an environment of open communication, and focusing on issues that make a difference
  • Collaborate with Asia Pacific Wells Fargo Audit Services team members to fulfill regulatory requests

Requirements:

  • 5+ years of Audit, control testing, control and risk identification, or audit analysis, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications

  • Bachelor degree in accounting, finance, or business administration
  • Experience at a multinational financial institution or public accounting firm auditing a variety of products (i.e. securities, asset management) and support functions (i.e. treasury, operations, compliance)
  • Knowledge of international banking regulatory and supervisory frameworks and regulatory requirements for foreign financial institutions, particularly in Asia Pacific
  • Relevant professional certification such as Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA), Certified Financial Analyst (CFA), or Securities License
  • Solid knowledge and understanding of audit methodologies and processes
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Excellent verbal, written, and interpersonal communication skills in both English and Japanese
  • Willingness to work flexible hours to collaborate with global team members

    Posting End Date: 

    17 Mar 2024

    *Job posting may come down early due to volume of applicants.

    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.

    Applicants with Disabilities

    To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

    Drug and Alcohol Policy

     

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


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