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Senior Independent Testing Specialist

About this role:

Wells Fargo is seeking a Senior Independent Testing Specialist in Corporate Risk in the Cross Commercial Banking Portfolio (Cross-CB) Independent Testing and Validation (IT&V) team. Learn more about the career areas and lines of business at wellsfargojobs.com

The Cross-CB IT&V 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.  This position will primarily be responsible for testing of Risk and Control Self Assessments, Issue Validations, Emerging Risks, and Incremental Compliance Testing in Commercial Banking.

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

  • 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

  • Executing substantive and/or control testing and/or issue validation testing with moderate supervision

  • Collaborate and consult with colleagues, internal partners, management and lines of business regarding risk management

  • 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 the test of design and operating effectiveness for business controls 

  • Providing consultation and subject matter expertise for process and IT control 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.

  • Review and research moderately complex potential corrective actions, and follow through on reporting, escalation, and resolution

  • Acting as a change agent for continual improvement of the control environment

  • Contribute to large scale planning related to Independent Testing deliverables

Required Qualifications, US:

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


Desired Qualifications:

  • Knowledge and understanding of regulatory agencies: Federal Reserve and OCC

  • Specialized knowledge or prior regulatory compliance testing or review experience

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

  • 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


Job Expectations:

Posting Locations:

  • Charlotte, NC

  • Fort Mill, SC

  • Irving, TX

  • West Des Moines, IA

  • Minneapolis, MN

  • Tempe, AZ

  • St Louis, MO

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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