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Enterprise Testing Sr. Associate - Wholesale Compliance Testing Validation

Company: Wells Fargo
Location: Sioux Falls
Posted on: January 14, 2020

Job Description:

Job Description Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume prior to submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as 'Personal Cell' or 'Cellular' in the contact information of your application. At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you. Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company. Within Wells Fargo Compliance, the Enterprise Testing 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. Wholesale Testing and Validation (T & V), within Enterprise Testing (ET), is seeking an Enterprise Testing Senior Associate to lead and assist with the development and execution of testing and issue validation activities, including independently assessing the design and operating effectiveness of Wholesale Banking and Lending business controls in accordance with Enterprise and Wholesale standards and Line of Business (LOB) specific requirements. Specifically, this Enterprise Testing Senior Associate will, - Lead and coach other team members throughout multiple concurrent reviews. - Establish and maintain strong relationships across Wholesale Testing & Validation teams, Wholesale lines of business, and Wells Fargo Audit Services (WFAS). - Lead and/or participate in planning, scoping, executing and reporting on regulatory and policy requirement testing and issue validation reviews. - Conduct interviews within the lines of business to develop a strong understanding of relevant processes and controls that mitigate risk of regulatory and policy non-compliance. - Document process walk-throughs that clearly and concisely explain the key process steps and how they are performed. - Complete timely and efficient tests to support conclusions on the design and performance of controls and overall effectiveness of the control environment to ensure regulatory and policy compliance. - Complete issue validation activities to assess the adequacy of corrective actions that address the risk and control issues identified during compliance testing reviews. - Document test steps and results in a clear and concise manner that support the work completed and can be easily understood by an independent person. - Review testing documentation and results completed by team members on reviews and provide feedback to ensure work papers are fully supported. - Communicate testing results to management, at the appropriate time and with the necessary level of detail, to ensure no surprises. - Create recommendations for improvement of processes and/or controls to remediate deficiencies and work with LOB stakeholders and internal risk partners to ensure appropriate corrective actions are defined to resolve weaknesses. - Ensure alignment of controls, procedures, and testing to compliance requirements, policies, and practices. Required Qualifications - 5+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management Desired Qualifications - A BS/BA degree or higher - Experience creating, executing, and documenting compliance testing - Ability to articulate complex concepts in a clear manner - Advanced Microsoft Office skills - Excellent verbal, written, and interpersonal communication skills - Knowledge and understanding of wholesale banking products and services - Strong analytical skills with high attention to detail and accuracy - Experience leading compliance reviews Other Desired Qualifications - Experience in Audit, Compliance, Risk and Testing - Critical Thinking and Analytical skills - Experience executing detailed test instructions and conducting reviews to assess controls and / or process effectiveness. - Regulatory compliance experience and knowledge/understanding of compliance and operational risk management in the financial services industry. - Proven experience in building effective partnerships with multiple stakeholders at all levels within an organization. - Demonstrated ability to work independently in a fast paced, changing, and virtual environment - Proven ability to lead a team, including guiding a team in prioritizing work to meet deadlines and achieve goals under pressure in a dynamic and complex environment. - Experience with risk management framework within the first, second, or third lines of defense. One or more of the following certifications is desired: - Certified Anti-Money Laundering Specialist (CAMS) - Certified Financial Crimes Specialist (CFCS) - Certified Information Systems Auditor (CISA) - Certified Internal Auditor (CIA) - Certified Public Accountant (CPA) - Certified Regulatory Compliance Manager (CRCM) - Certified Risk and Compliance Management Professional (CRCMP) - Certified Risk Professional Program (CRP) Job Expectations - Ability to travel up to 10% of the time Street Address GA-Atlanta: 3579 Atlanta Ave - Atlanta, GA GA-Atlanta: 360 Interstate North Pkwy Se - Atlanta, GA NC-Charlotte: 301 S College St - Charlotte, NC NC-Charlotte: 301 S Tryon St - Charlotte, NC NC-Charlotte: 401 S Tryon St - Charlotte, NC NC-Charlotte: 550 S Tryon St - Charlotte, NC NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX TX-Irving: 250 E John Carpenter Freeway - Irving, TX CO-Denver: 1700 Lincoln St - Denver, CO CO-Englewood: 9780 S Meridian Blvd - Englewood, CO IA-Des Moines: 800 Walnut St - Des Moines, IA IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA MN-Minneapolis: 600 S 4th St - Minneapolis, MN AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ AZ-PHX-Northwest Phoenix: 11601 N Black Canyon Hwy - Phoenix, AZ AZ-Chandler: 2600 S Price Rd - Chandler, AZ AZ-Tempe: 1150 W Washington St - Tempe, AZ OR-Portland: 1300 Sw 5th Ave - Portland, OR NC-Raleigh: 1100 Corporate Center Dr - Raleigh, NC UT-Salt Lake City: 1095 E 2100 S - Salt Lake City, UT UT-Salt Lake City: 1255 E Brickyard Rd 1 Flr - Salt Lake City, UT UT-Salt Lake City: 260 Charles Lindbergh Dr - Salt Lake City, UT TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO PA-Philadelphia: 101 N Independence Mall E - Philadelphia, PA SD-Sioux Falls: 4811 N 4th Ave - Sioux Falls, SD Disclaimer All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act. Relevant military experience is considered for veterans and transitioning service men and women. Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation. Skills/Requirements Job Reference #: ******** Job Status: Date Posted: 1/9/2020 Pay Rate: Recruiter and Available Location Information -, Sioux Falls, SD 57101

Keywords: Wells Fargo, Sioux Falls , Enterprise Testing Sr. Associate - Wholesale Compliance Testing Validation, Accounting, Auditing , Sioux Falls, South Dakota

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