At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
About this role:
Wells Fargo’s Wealth and Investment Management (WIM) includes business lines that provide a full range of personalized wealth management, investment and retirement products and services to clients across U.S. based businesses, including financial planning, private banking, credit, investment management, and fiduciary services to high-net worth and ultra-high-net worth individuals and families, customers' brokerage needs, retirement and trust services for institutional clients, and investment management capabilities delivered to global institutional clients. WIM businesses focus on building enduring client relationships through sound, thoughtful and objective advice. WIM’s objective is to help clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions.
In this role, you will:
- Perform audit testing components of assigned audits within multiple segments of the Audit Plan
- Plan and execute independent audit testing and ensure that they are timely and accurate
- Identify and assess key risks and controls
- Execute and document work in accordance with Wells Fargo Audit Services policy
- Identify and develop compensating controls that mitigate audit findings and make recommendations to management
- Inform manager of situational issues that might compromise objectivity or independence
- Design and execute tests to verify control effectiveness
- Document work papers according to the standards of the Internal Audit policy and guidance
- Demonstrate professional skepticism while performing major components of audits
- Lead smaller scale audits or projects
- Develop ways to improve existing audit practices
- Develop effective test plans for engagements as assigned with limited guidance
- Participate in projects as directed
- Develop business partnerships within Internal Audit and with teams companywide through professional communication and clear audit deliverables
Required Qualifications, US:
- 4+ years of Audit, Risk experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education. Position is subject to Wells Fargo Advisors Regulatory Compliance Supervision requirements.
Desired Qualifications:
- Experience at a financial institution or accounting firm
- A BS/BA degree or higher
- Solid knowledge and understanding of audit or risk methodologies and supporting tools
- Excellent verbal, written, and interpersonal communication skills.
- Strong organizational, multitasking, and prioritizing skills.
- Ability to execute in a fast paced, high demand, environment while balancing multiple priorities.
- Solid problem solving skills
- Good analytical skills with high attention to detail and accuracy.
- Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
- Experience in portfolio management, investment strategy, broker/dealer operations, wealth management, fiduciary and trust services.
Job Expectations:
- Ability to travel up to 10% of the time
- Hybrid work schedule with 3 days in office & 2 days remote
- This position is not eligible for Visa sponsorship
Position is subject to Wells Fargo Advisors Regulatory Compliance Supervision requirements.
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.
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
