Enterprise Testing Sr Manager - Volcker Rule

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

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 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 ou 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. Enterprise Functions Testing and Validation The Enterprise Functions Testing and Validation (EF T&V) team within Enterprise Testing is responsible for planning and executing testing and issue validation in accordance with the Independent Monitoring, Testing, and Validation Policy and Procedures, and the Issue Management Policy. EF T&V performs regulatory compliance and operational risk testing and issue validation activities for Enterprise Functions staff groups, which include Audit Services, Human Resources, Stakeholder Relations, Corporate Risk, Enterprise Finance, the Legal Department as well as additional centralized Enterprise-wide specific testing of the Volcker Rule, Human Capital Risk and centralized Regulation W functions. The Role The Enterprise Functions Senior Testing Manager will be responsible for managing a team of managers and consultants in executing a risk-based compliance control testing program to assess compliance with Volcker regulatory requirements and applicable corporate policies as well as assessing the design and operational effectiveness of business processes and controls. The Manager must ensure this testing program adheres to the Independent Monitoring, Testing, and Validation Policy as well as other associated polices such as the Issue Management Policy. Specifically, this Senior Manager will oversee Major Requirement Testing within Enterprise Functions T&V and will be accountable for defining the integrated business process testing approach for EF T&V. Responsibilities include, but are not limited to Leading initiatives that cross multiple lines of business in scope with significant impact/risk. Building relationships with LOB Heads, Legal, Audit, regulators and industry partners on risk related topics. Managing a team of cross-functional Managers in accomplishing department goals and priorities. Designing and developing testing strategies and methodologies through consultation with senior Risk, Compliance, Legal and business management accountable for Volcker risk. Identifying opportunities and driving testing strategies for engagements and initiatives such as leading horizontal and targeted control testing engagements and ad-hoc projects as necessary. Developing and maintaining respective pieces of the EF T&V Annual Test Plan. Furthermore, communicating the Annual Plan with LOB, Compliance and Risk stakeholders. Actively participating in the Final Review Committee (to be formed), which will be responsible for reviewing engagement reports, issue ratings, and triaging critical or high risk issues and determining next steps. Responsible for staffing, executing timely deliverables, providing written and oral reporting and driving quality of work for the team. Ensuring all issues identified by the team are addressed, escalated and validated appropriately. 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 * 10+ 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 10+ years of financial services industry experience, of which 7+ years must include direct experience in risk management * 3+ years of management experience Other_Desired_Qualifications Experience in Audit, Compliance, Risk and Testing Critical Thinking and Analytical Skills Ability to articulate complex concepts in a clear manner Advanced Microsoft Office skills Excellent verbal, written, and interpersonal communication skills Strong analytical skills with high attention to detail and accuracy Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment Ability to drive and lead organizational change in a dynamic environment Strong strategic and conceptual thinking skills Solid conflict management and decision making skills Specialized knowledge or prior regulatory compliance testing or review experience, involving the Volcker Rule Demonstrated ability to establish strong working relationship with key partners and senior management Demonstrated capability of exercising independent judgment, critical decision- making, staying organized, and managing a team with multiple priorities and deadlines Audit, Risk or regulatory examination experience and knowledge of the laws, rules and regulations applicable to Enterprise Functions is strongly preferred. Articulate, poised and comfortable in direct interaction with senior business partners, Compliance, and Wells Fargo Audit Services Knowledge and understanding of corporate policies and requirements related to compliance and/or operational risk management, and specifically, the Independent Monitoring, Testing & Validation Policy and the related Enterprise Testing Control Testing & Validation Operating Procedures Advanced degree (MBA), preferably in accounting or finance, or certification (CRCM, CPA, CIA). 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) Job Expectations * Ability to travel up to 5% of the time Street Address GA-Atlanta3579 Atlanta Ave - Atlanta, GA GA-Atlanta360 Interstate North Pkwy Se - Atlanta, GA NC-Charlotte301 S College St - Charlotte, NC NC-Charlotte401 S Tryon St - Charlotte, NC NC-Charlotte1525 W Wt Harris Blvd - Charlotte, NC SC-Fort Mill3480 State View Blvd - Fort Mill, SC TX-DAL-Downtown Dallas1445 Ross Ave - Dallas, TX TX-Irving250 E John Carpenter Freeway - Irving, TX CO-Denver1700 Lincoln St - Denver, CO IA-Des Moines800 Walnut St - Des Moines, IA IA-West Des Moines7001 Westown Pkwy - West Des Moines, IA MN-Minneapolis600 S 4th St - Minneapolis, MN AZ-PHX-Central Phoenix100 W Washington St - Phoenix, AZ AZ-PHX-Northwest Phoenix11601 N Black Canyon Hwy - Phoenix, AZ AZ-Chandler2600 S Price Rd - Chandler, AZ AZ-Tempe1150 W Washington St - Tempe, AZ OR-Portland1300 Sw 5th Ave - Portland, OR NC-Raleigh1100 Corporate Center Dr - Raleigh, NC UT-Salt Lake City1095 E 2100 S - Salt Lake City, UT UT-Salt Lake City1255 E Brickyard Rd 1 Flr - Salt Lake City, UT UT-Salt Lake City260 Charles Lindbergh Dr - Salt Lake City, UT TX-San Antonio4101 Wiseman Blvd - San Antonio, TX MO-Saint Louis1 N Jefferson Ave - Saint Louis, MO PA-Philadelphia101 N Independence Mall E - Philadelphia, PA SD-Sioux Falls4811 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. Reference Number -10

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