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Independent Testing Specialist

  • Market Job Title / Designation : Independent Testing Specialist

    About this role:

    Wells Fargo is seeking an 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 Chief Operating Office 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.

    Market Job Description:

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

  • Completes review/testing activities on an accelerated schedule, raising schedule delays as needed while looking for opportunities to remediate schedule issues.
  • Providing meaningful operational and compliance risks assessments of business processes.
  • Supporting efforts to effectively challenge risks in processes and evaluate and/or test controls designed to mitigate those risks.
  • Executing substantive and/or control testing with moderate supervision.
  • Executing the test of design and operating effectiveness for RCSA (Risk & Compliance Self-Assessment) controls. 
  • Completes all testing and documentation under limited supervision and appropriately retains all work papers (testing schedule, templates, work-papers, deferrals, deviations, etc.).  
  • Providing consultation and subject matter expertise for process related matters including evaluating severity of control deficiencies and related remediation efforts.
  • Documenting test results and any issues identified while also providing recommendations to management.
  • Providing Credible Challenge to the First Line Units as needed.
  • Acting as a change agent for continual improvement of the control environment
  • Required Qualifications 

  • University degree in Business or related discipline
  • 3+ years of relevant experience in risk management (includes compliance, operational risk, issue identification and validation, internal audit, business process management)
  • 2+ years direct experience Audit, Risk and Control Testing
  • Desired Skills 

    Knowledge and understanding of financial services industry: compliance, risk management, or audit operations

  • Knowledge and understanding of regulatory agencies: Federal Reserve and OCC
  • Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; and identifying issues resulting from internal and/or external compliance examinations
  • Experience testing policy, procedures, control and business process testing
  • 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
  • Other Desired Skills and Experience:

  • Minimum two years at Big Four/super regional public accounting firm with experience in business process, regulatory, and/or business process, regulatory, advisory/consulting service.
  • Experience supporting SOX/SOC, Regulatory Exams (Domestic and Int’l), Audits, or other technology control related assessments.
  • Strong critical thinking skills with ability to credibly challenge status quo.
  • Strong organization and prioritization skills.
  • Strong relationship management skills: ability to negotiate difficult positions without harming relationships
  • Strong team player and ability to work with minimum guidance
  • Prefer one of the following certifications:

  • Chartered Accountant
  • Certified Public Accountant (CPA)
  • Certified Internal Auditor (CIA)
  • MBA Finance/PGDBA
  • Certified Regulatory Compliance Manager (CRCM)
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Certified Financial Crimes Specialist (CFCS)

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, age, 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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