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Regulatory Reporting Testing & Validation Senior Specialist

  • Governance & Controls
  • Full time
  • R-195800

About this role:

This role is in the Regulatory Reporting Incremental Compliance (RRIC) team within Independent Testing & Validation (IT&V). RRIC is a centralized team, operates as a second line of defence over the regulatory and risk report production processes subject to BCBS 239 requirements. The team is an integral part of the Company’s control environment and provides credible challenge to relevant participants in the reporting processes. RRIC has enterprise-wide exposure to lines of business, regulatory and risk reporting stakeholders as well as the external financial reporting and regulatory reporting infrastructures and frequently coordinates with internal audit.


In this role, you will:

  • Lead or participate in moderate to high risk or complex review activities in a matrixed environment and communicate emerging risks to management within Independent Testing
  • Contribute to large scale planning related to Independent Testing deliverables
  • Review and research moderately complex potential corrective actions, and follow through on reporting, escalation, and resolution
  • Ensure effective and appropriate testing, validation, and documentation of review activities for risk programs and controls according to standards and other applicable policies
  • Resolve moderately complex issues and lead team to meet Independent Testing deliverables while leveraging solid understanding of risk management framework and the risk and control environment
  • Collaborate and consult with colleagues, internal partners, management and lines of business regarding risk management

The successful candidate will be a team player and a self-starter who is accustomed to working in complex organizations, partnering with a diverse group of stakeholders, and achieving results. Candidates with experience in preparing or reviewing regulatory returns including capital adequacy, liquidity coverage, recovery planning etc. are encouraged to apply.


Required Qualifications:

  • 4+ years direct experience in regulatory reporting and testing


Desired Qualifications:

  • Knowledge and understanding of financial services industry: compliance, risk management, or audit operations
  • Knowledge and understanding of regulatory agencies e.g. Central Bank of Ireland, Financial Conduct Authority etc.
  • 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 resulting from internal and/or external compliance examinations
  • Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint)
  • Ability to take on a high level of responsibility, initiative, and accountability
  • Ability to present results of analyses and recommendations to senior leaders or executives


Other Desired Qualifications:

  • Minimum two years at Big Four/super regional public accounting firm with experience in business process, regulatory or advisory/consulting service
  • Experience supporting Regulatory Exams (Domestic and Int’l), Audits, or other regulatory reporting related assessments
  • 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 technology. This includes the willingness and ability to question decisions, understand direction and escalate issues, where necessary

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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