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Lead Independent Testing Officer

  • Governance & Controls
  • Full time
  • R-377205

Responsibilities:

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

  • Lead initiatives executing high risk or complex review activities and engagements in a matrixed environment.
  • Communicate emerging risks with broad impact and act as key participant in large scale planning for Independent Testing
  • Develop and design methodologies and standards for review activities across the enterprise in alignment with the risk management framework.
  • Review and research complex development and design of methodologies and standards for review activities companywide in alignment with the risk management framework
  • Ensure effective and appropriate testing, validation, and documentation of review activities for risk programs, risks and controls.
  • Make decisions in complex situations requiring solid understanding of risk management framework and the risk and control environment that influence and lead enterprise testing to meet deliverables and drive new initiatives.
  • Collaborate and consult with Audit, Legal, external agencies, and regulatory bodies to resolve risk related topics.
  • Lead project teams and mentor individuals

Required Qualifications 

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

Desired Qualifications:

  • University degree in Business or related discipline
  • Good experience in risk management (includes control testing, compliance, financial crimes, operational risk, internal audit, business process management)
  • Hands on experience of leading end to end engagements in control testing, compliance testing, or audit functions.
  • Knowledge and understanding of financial services industry, including compliance, risk management, and/or audit operations.
  • 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.
  • Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint)
  • Ability to take on a high level of responsibility, initiative, and accountability.
  • Strong oral and written communication skills

Other Desired Qualifications 

  • Minimum 2 years at Big Four/Global Banks with experience in business process, regulatory, audit and/or advisory/consulting services
  • 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 other key stakeholders. This includes the willingness and ability to question decisions, understand direction and escalate issues where necessary.
  • One or more of the following certifications:
    • Certified Internal Auditor (CIA)
    • Chartered Accountancy (CA)
    • Certified Public Accountant (CPA)
    • Certified Regulatory Compliance Manager (CRCM)

Posting End Date: 

18 Jul 2024

*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.


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