Senior Auditor - Sr. AVP (CAO)

About this role:

Wells Fargo is seeking a Senior Auditor – Senior AVP, Chief Administrative Office (Internal Audit)

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:

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

Desired Qualifications:

• Strong Audit, Risk experience, or other relevant experience  
• Experience at a financial institution or accounting firm
• Solid knowledge and understanding of audit or risk methodologies and supporting tools
• CA or MBA, with certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
• Excellent verbal, written, and interpersonal communication skills
• Strong organizational, multitasking, problem solving, and prioritization skills
• Good analytical skills with high attention to detail and accuracy
• Experience with risk identification and assessment and/or control evaluation and testing
• Experience engaging with financial regulators in EMEA and APAC

Job Expectations:

• Support IA’s emerging risk identification/monitoring by partnering with the IA innovation team and identifying/implementing requirements to build out data analytics capabilities for identifying/monitoring emerging risks
• Support the Reporting team with recurring activities that feed monthly and quarterly executive and committee reporting, including reconciliation of month-end issue management data files against enterprise systems of record, validation of audit and issue listings in report appendices to data support files, and review of issue memos for failed validations to summarize root cause of failure.
• Support the broader Regulatory Engagement team, including attending regulator meetings, communicating with regulators, and coordinating regulatory responses in collaboration with US based peers
• Support budgeting processes, including tracking accruals for co-source budgeting
• Perform evaluation and testing of Audit front-line controls in accordance with defined controls testing schedule, as needed
• Engage with international partners to manage local Audit real estate portfolio relative to headcount, as needed
• Ability to travel up to 10% of the time (If required)

Posting End Date: 

*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.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.