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Enterprise Testing Sr Assoc - Issue Validation

Company: Wells Fargo
Location: West Des Moines
Posted on: March 25, 2020

Job Description:

Job DescriptionImportant 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. Were looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where youll 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.

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. Executes review activities in an effective manner. May lead moderate to high risk or complex review activity engagements in a matrixed environment, and communicates emerging risks to management. Completes review activities on schedule. Raises schedule delays to the review activity lead. Looks for opportunities to remediate schedule issues. Escalates any potential issues discovered during the completion of review activities to a review lead. Identifies potential corrective actions, and follows through on reporting, escalation, and resolution. Completes all documentation under limited supervision and appropriately retains all work papers (testing schedule, templates, work-papers, deferrals, deviations,etc.). Consults and implements initiatives with moderate to high risk. Internal interface with business regarding risk management. Limited to no external interaction. Does not manage other team members.

Wells Fargo is seeking an experienced Senior Associate responsible for executing a risk-based issue validation program for Consumer Banking, including Regional Banking, Operations Services and Delivery, and Deposit Products Group, as well as other select business units within Consumer Banking. This position will primarily perform issue validations for deposit and retail lending activities, and may also perform risk-based and ad-hoc testing. Requirements to be evaluated include but are not limited to the Regulation CC, Regulation E, the S.A.F.E. Act, Regulation D, privacy related regulations, Servicemembers Civil Relief Act, Bank Secrecy Act, Anti-Money Laundering, Office of Foreign Asset Control as well as compliance with various Wells Fargo regulatory compliance and financial crimes policies. This position will interact regularly with the Consumer Banking Compliance and Operational Risk team, line of business partners, others in the Second Line of Defense as well as those in the Third Lines of Defense and will ensure consistency with Consumer Banking's commitment to our customers, the Wells Fargo Vision & Values and risk appetite.

Specific Job Responsibilities:


  • Developing testing strategies and methodology
  • Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, product and internal controls
  • Participating in complex testing engagements for multiple regulatory and operational risks impacting Consumer Banking and PVSI
  • Drafting reports of findings and provide recommendations to business line management
  • Consulting with various issue owners to assist in developing corrective action plans
  • Assist in effectively managing change to ensure regulatory compliance
  • May assist with site, agency or other examinations conducted by internal/external parties


    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


      • Advanced Microsoft Office skills
      • Excellent verbal, written, and interpersonal communication skills
      • Strong analytical skills with high attention to detail and accuracy
      • Ability to interact with all levels of an organization
      • Ability to articulate complex concepts in a clear manner
      • Knowledge and understanding of audit methodologies and tools that support audit processes
      • Outstanding problem solving skills
      • Ability to identify and evaluate trends, isolate root cause, and provide swift/thorough resolution
      • Ability to organize and manage multiple priorities
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • An active Certified Regulatory Compliance Manager (CRCM) designation
      • A Masters of Business Administration (MBA) or a Certified Public Accountant (CPA) Designation
      • Certified Internal Auditor (CIA)


        Other Desired Qualifications


        • Proven risk-based issue validation experience; evaluating regulatory requirements for Consumer Banking, Operations or Deposit Products Group.
        • At least 6 years in Audit, Risk and/or Compliance testing operational and compliance controls
        • Exposure to Wells Fargo SHRP system
        • BS/BA degree or higher
        • Experience and knowledge of the WFVC - Contact Centers and WFVC - Digital lines of business and the related risk environment
        • Experience providing credible challenge to business partners when necessary
        • Proven ability to implement and influence change and controls across a line of business as work is accomplished through managers/consultants/specialist, cross-functional/virtual team, and matrixed teams


          Street AddressNC-Charlotte: 301 S College St - Charlotte, NC

          GA-Atlanta: 3579 Atlanta Ave - Atlanta, GA

          GA-Atlanta: 360 Interstate North Pkwy Se - Atlanta, GA

          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, SDDisclaimerAll 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.

Keywords: Wells Fargo, West Des Moines , Enterprise Testing Sr Assoc - Issue Validation, Accounting, Auditing , West Des Moines, Iowa

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