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Senior Audit Manager - Conduct Sales Practices Team

Company: Wells Fargo
Location: West Des Moines
Posted on: January 15, 2020

Job Description:

Job Details Company Overview 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 when 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. Internal Audit conducts audits and reports the results of our work to the Audit & Examinations Committee of the Board of Directors. We provide independent, objective assurance and consulting services delivered through a highly competent and diverse team. As a business partner, Audit helps the Company accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. We are seeking a Senior Audit Manager (SAM) to join the Enterprise Functions - Conduct and Sales Practices (CSP) team. This qualified individual will manage a team focused on assessing the risk and control environment around sales practices and conduct risk management, including enterprise complaints management. The ideal candidate possesses knowledge of sales practices and conduct risk management as well as experience working in in areas of high regulator scrutiny. In addition, the candidate will support the greater team by partnering with peer CSP SAMs to lead the greater team in executing business monitoring and audit coverage of the Enterprise Complaints Management Office and line of business complaints management processes. Specific Duties: The Senior Audit Manager supervises integrated audit projects and provides guidance and oversight for the teams and engagements and may act as a subject matter expert in a consulting capacity. Senior Audit Managers demonstrate depth and breadth of knowledge that includes technology, operational, financial, and regulatory understanding across multiple businesses and may develop knowledge in a critical subject matter area. Responsibilities include: - Manages a team responsible for a defined segment of the Audit Plan. - Accountable for assessing associated risks and controls and completing engagements within their segment of the audit plan. - Responsible for resources management and assisting broader team in overall audit plan completion. - Provides timely feedback, coaching and monitoring of development plans. - Builds and maintains a proficient team of auditors. - Develops and maintains strong business relationships with leadership across WF and other stakeholders, such as regulatory agencies. - Plans and organizes work in an annual cycle, not just project cycle. - Ensures audit engagements are risk-based, and executed according to Audit policies and guidance. As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will: - Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them. - Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks. Required Qualifications - 8+ years of experience in one or a combination of the following audit or risk functions: leading teams covering risk identification, mitigation and management (includes audit, legal, operational risk, compliance risk, credit risk, market risk, technology risk, or the management of a process or business with accountability for risk.) - 2+ years of management experience Desired Qualifications - Experience at a financial institution or accounting firm - A BS/BA degree or higher - Leadership experience - Solid knowledge and understanding of audit or risk methodologies and supporting tools - Strong understanding of financial regulatory environment - Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation - Knowledge and understanding of audit methodologies and tools that support audit processes - Excellent verbal, written, and interpersonal communication skills - Strong organizational, multi-tasking, and prioritizing skills - Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important - Ability to execute in a fast paced, high demand, environment while balancing multiple priorities - Solid problem solving skills - Good analytical skills with high attention to detail and accuracy Other Desired Qualifications - Audit experience at a large financial institution or auditing company - Experience with auditing complaints management processes - Experience with auditing conduct risks including sales practices, ethics, allegations, and internal fraud risks - Ability to lead projects/initiatives with high risk and complexity - Outstanding problem solving and analytical skills with ability to turn findings into strategic imperatives - Experience executing validation of corrective actions as a result of regulator issues, including consent orders. - Ability to attract, mentor and develop professionals, including mid-level managers Job Expectations - Ability to travel up to 25% of the time 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. Recommended skills Auditing Finance Requirement Prioritization Internal Auditing Leadership Complex Problem Solving

Keywords: Wells Fargo, West Des Moines , Senior Audit Manager - Conduct Sales Practices Team, Accounting, Auditing , West Des Moines, Iowa

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