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Senior Independent Testing Specialist

  • Governance & Controls
  • Full time
  • R-215490

About this role:

Wells Fargo is seeking a Senior Independent Testing Specialist...

About Wells Fargo : Wells Fargo & Company (NYSE: WFC) is a leading global financial services company with $2.0 trillion in assets and offices in over 37 countries. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides asset management, capital raising and advisory, financing, foreign exchange, payments, risk management, and trade finance services to support customers who conduct business in the global economy. At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We also value the viewpoints of our team members and encourage them to be their best. Join our diverse and inclusive team where you will feel valued and inspired to contribute your unique skills and experience. We are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you. Learn more at our International Careers website .

Department Overview

Independent Testing & Validation (IT&V) is part of Wells Fargo’s second line of defense, or Independent Risk Management (IRM) team, and is responsible for the development and design of methodologies and standards for review activities across the Enterprise in alignment with the Risk Management Framework. Testing & Validation teams provide independent, comprehensive operational risk and compliance control testing as well as targeted/emerging risk reviews and issue validation.

About the Role

This role is in the Technology, Chief Operating Office, Emerging Risk and Data team (TCRED) IT&V group as a part of the Emerging Risk Testing team. The Independent Testing & Validation team is responsible for the development and design of methodologies and standards for review activities across the Enterprise in alignment with the Risk Management Framework, and ensuring effective and appropriate testing, validation, and documentation of review activities for risk programs, risks, and controls according to standards and other applicable policies.

Responsibilities :

Responsibilities of the Senior Specialist role include, but are not limited to:

  • Executes review activities in an effective manner, including leading high risk and/or complex emerging risk engagements in a matrixed environment, and communicates identified risks to management and other interested parties.
  • Completes review activities on an accelerated schedule, raising schedule delays as needed while looking for opportunities to remediate schedule issues.
  • Leads and supports efforts to challenge risks in processes and evaluate and/or test controls designed to mitigate those risks, including evaluation of control design and operating effectiveness, if applicable.
  • Escalates any potential issues discovered during the completion of review activities. Identifies potential corrective actions and follows through on reporting, escalation, and resolution.
  • Completes all testing and documentation under limited supervision and appropriately retains all work papers (testing schedule, templates, work-papers, deferrals, deviations, etc.).  
  • Provides consultation and subject matter expertise including evaluating severity of control deficiencies and related remediation efforts, if applicable.
  • Documents test results and any issues identified while also providing recommendations to management, including identifying compensating controls and residual risk to issues identified.
  • Builds relationships and collaborates with key stakeholders.

Required Qualifications 

  • University degree in Business or related discipline
  • 6+ years of relevant experience in risk management (includes control testing, compliance, financial crimes, operational risk, internal audit, business process management)

Desired Qualifications 

  • Knowledge and understanding of financial services industry, including compliance, risk management, and/or audit operations
  • Specialized knowledge or prior regulatory compliance testing or review experience
  • Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; and identifying issues
  • Experience creating, executing, and documenting compliance, control, and business process testing
  • Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint)
  • Ability to take on a high level of responsibility, initiative, and accountability
  • Strong oral and written communication skills

Other Desired Qualifications 

  • Minimum 2 years at Big Four/super regional public accounting firm with experience in business process, regulatory, audit and/or advisory/consulting services
  • 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 and other key stakeholders. This includes the willingness and ability to question decisions, understand direction and escalate issues where necessary
  • One or more of the following certifications:
  • Certified Internal Auditor (CIA)
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Certified Financial Crimes Specialist (CFCS)
  • Chartered Accountancy (CA)
  • Certified Public Accountant (CPA)
  • Certified Regulatory Compliance Manager (CRCM)

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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