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Audit & Exam Engagement Officer - CIB (Business Control Management)

Why Wells Fargo:

This is where your true career begins. We ranked #3 on the 2022 LinkedIn Top Companies list – and #1 among financial services companies – as the best workplace “to grow your career” in the U.S. At Wells Fargo, we support employees’ career aspirations and growth. We’re proud of our employee-welfare-centered business approach and our commitment to diversity, equity, and inclusion in the workplace.

We offer competitive salaries and one of the richest benefits packages in the industry. Our Total Rewards program focuses on wellness, work-life balance and the financial health of our employees. Our customers invest with us, we invest in you. Apply today.

About this role:

The Corporate & Investment Banking (CIB) Control Team is responsible for the implementation and management of the First Line of Defense risk program requirements. This position resides within the Operations & COO Business Control team and will collaborate with the business control aligned coverage across Global Operations (B-D, FX, Prime Services, Middle Office, Shared Services, International, PMO and Process Review) as well as COO teams for Shared Services and Infrastructure.

This role will part of a dedicated team with responsibility for engagement monitoring across audit, external exam, internal testing and all related issues management and root cause review for aligned coverage areas. Additional responsibilities will include ensuring alignment with the RCSA program to ensure that related risk and control profiles are maintained using outputs of such engagements. As part of the business control team, the role will support business leadership and COO teams to design and implement first line controls with respect to a variety of regulatory requirements, Wells Fargo policies and industry best practices.

Specific responsibilities include:

  • Contribute to team coverage of engagements such as internal audits, external exam and other control reviews. Ensure LOB awareness and preparations as applicable.

  • Lead efforts for issues and corrective actions identified during engagements inclusive of root cause identification, issue intake, alignment of corrective actions as well as any related intake and closure requirements.

  • Communicate the pipeline of engagements, issues and any related requirements to ensure that internal and external time-lines are met.

  • Collaborate with Line of Business (LOB) partners on control design, implementation and monitoring.

  • Ensure appropriate connectivity, linkage, and integration with in-region international risk management teams.

  • Partner with business control managers and the business to maintain the business process inventory.

  • Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology and internal controls.

  • Awareness and involvement in regulatory change control, and alignment of related controls.

  • Contribute to governance routines and management reporting leveraging RCSA data.

  • Partner with business control managers to ensure that the RCSA and related risk and control profiles are maintained following any engagements/related issues and corrective actions.

  • Manage RCSA triggers, including the assessment of RCSA.

  • Coordinate with business and support partners for creation of Self-Disclosed issues in Issues Management system of record.

  • Support of the inventory of business processes, internal testing, audit, regulatory engagements outputs and the integration with RCSA, as applicable.

  • Support timelines and preparations for Evidence Based Control Evaluation and QA engagements over the RCSA outputs


Required Qualifications:

  • 5+ years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education


Desired Qualifications:

  • Prior experience in Data Risk Management, Data Information Security, Policy and Regulatory change

  • Direct experience with Operational risk frameworks, the RCSA, issues management and related control programs

  • Prior experience in a business control, audit or compliance role with focus on control design and evaluation

  • Prior experience with root cause assessment and record of accomplishment for defining mitigating corrective actions

  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities

  • Experience delivering results in a fast-paced, deadline driven environment

Posting Locations:

550 S Tryon., Charlotte, NC

30 Hudson Yards, New York, NY

600 S. 4th Street., Minneapolis, MN

J ob Expectations:

  • Due to a city-wide mandate in New York City, all individuals who perform in-person work or interact with the public during business must be fully vaccinated against COVID-19 or qualify for an approved accommodation to be exempt from being fully vaccinated.  Currently, this position falls under the scope of this mandate

  • NYC Comp range $133,300 - $237,100 Annual 

  • Expected to be in the office 3 days a week

Pay Range

$111,100.00 - $197,500.00 Annual

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.


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