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Senior Independent Testing Specialist - Finance/Treasury

  • Governance & Controls
  • Full time
  • R-375025

About this role:

Wells Fargo is seeking a Senior Independent Testing Specialist within the Independent Testing & Validation (IT&V) group as part of Corporate Risk. Learn more about the career areas and lines of business at

IT&V is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level and teams are responsible for implementing the Enterprise Testing methodology, standards, and executing group specific testing.

The IT&V team is seeking a Senior Independent Testing Specialist to support the IT&V Enterprise Functions (EF) Finance testing and validation team. This role will contribute to a high-performing team of testing and validation professionals with subject matter expertise in a financial institution. Finance functions, including but not limited to financial planning & analysis, cost allocations, stress testing, product control and pricing, international business/regional reporting, Treasury support activities, SEC and regulatory reporting, and internal control frameworks for financial reporting.

In this role, you will:

  • Serving in either a testing execution and/or lead capacity, participating in complex testing engagements in a matrixed environment, and communicating emerging risks to management
  • Leading and supporting efforts to effectively challenge risks in the end-to-end reporting processes and evaluate controls designed to mitigate those risks
  • Partnering with business partners to understand the environment and related initiatives to develop appropriate and complementary testing procedures
  • Executing substantive outcome-based testing of regulatory and risk reports with limited supervision
  • Documenting test results and timely escalation of exceptions identified 
  • Proactively communicating issues to stakeholders including ownership, while providing recommendations to management
  • Developing clear and concise reporting to be shared with IT&V management and Front-Line Units
  • Lead or participate in moderate to high risk or complex review activities in a matrixed environment and communicate emerging risks to management within Independent Testing
  • Contribute to large scale planning related to Independent Testing deliverables
  • Review and research moderately complex potential 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
  • Resolve moderately complex issues and lead team to meet Independent Testing deliverables while leveraging solid understanding of risk management framework and the risk and control environment
  • Collaborate and consult with colleagues, internal partners, management and lines of business regarding risk management

Required Qualifications:

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

Desired Qualifications:

  • Public accounting firm experience in business process, regulatory, or compliance audits and/or business process, regulatory, or advisory/consulting service
  • Demonstrated success with influencing business units to identify, formulate and implement processes/procedures to mitigate risk
  • Demonstrated negotiation skills, especially with difficult topics when partnering with lines of business. This includes the willingness and ability to question decisions, understand direction and escalate issues, where necessary
  • Exposure to bank financial reporting requirements, such as familiarity with CCAR related processes
  • Foundational understanding of Finance functions and related supervisory expectations for large financial institutions
  • Strong knowledge of the COSO Framework and Risk & Control Self-Assessment (RCSA) programs
  • Experience using and/or knowledge of key risk and control considerations for key finance applications and tools
  • Experience in Audit, Compliance, Risk and Testing
  • Critical Thinking and Analytical Skills
  • Ability to articulate complex concepts in a clear manner
  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to drive and lead organizational change, prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Strong strategic and conceptual thinking skills
  • Demonstrated ability to management conflict and provide quick and well-thought through decisions
  • Demonstrated ability to establish strong working relationship with key partners and senior management
  • Articulate, poised and comfortable in direct interaction with senior lines of business partners, Compliance, Independent Risk Management, and Internal Audit
  • Relevant advanced/post-graduate degree

Preferred Certifications:

  • Certified Public Accountant (CPA)
  • Certified Information Systems Auditor (CISA)
  • Certified Internal Auditor (CIA)
  • Certified Regulatory Compliance Manager (CRCM)
  • Certified Risk and Compliance Management Professional (CRCMP)
  • Certified Risk Professional Program (CRP)

 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.

Posting End Date: 

15 Jul 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.

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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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