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Lead Independent Testing Officer

Company: Wells Fargo
Location: Irving
Posted on: March 19, 2023

Job Description:

About this role: Wells Fargo is seeking a Lead Independent Testing Officer, providing coverage for the Wealth & Investment Management (WIM) Financial Crimes Risk Management (FCRM) Independent Testing & Validation (IT&V) team. IT&V makes up and important stage in the risk management process. Testing enables Wells Fargo to assess the effectiveness of business risk-mitigating controls and ensure they are designed and operating effectively to mitigate risk and meet regulatory requirements. This position will manage and lead review and issue validation testing activities in order to independently assess adherence to regulatory and internal policy requirements and evaluate the effectiveness of business processes, controls, and risk management activities. The position is responsible for the timely delivery of review activities and meeting quality standards of assigned engagements. In this role, you will:

  • In this role, on the WIM FCRM IT&V team you will be responsible for:
  • Leading and executing moderate to high risk or complex financial crimes review activities and issue validations.
  • Completing review activities and issue validations in accordance with IT&V Standards and other applicable policies.
  • Escalating potential issues discovered during the completion of review activities and issue validations to management.
  • Developing and communicating recommended corrective actions to issues identified.
  • Performing effective and timely testing-related independent control credible challenges.
  • Completion and retention of required work-paper documentation.
  • Leading internal initiatives with moderate to high-risk exposure.
  • Providing guidance to Sr. Testing Specialists and Testing Specialists on testing activities and proper issue management practices.
  • Communicating with all levels of internal management, Audit, Legal, external agencies, and regulatory bodies on risk related topics.
  • Collaborate and consult with Audit, Legal, external agencies, and regulatory bodies to resolve risk related topics.
  • Lead project teams and mentor individuals Required Qualifications, US:
    • 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:
      • Skilled in anticipating change, adjusting behavior to effectively handle rapid change, and the ability to adjust behavior to remain resilient through ambiguity or setbacks.
      • Adaptable to new methods, tools, and technology
      • Ethical integrity and proven ability to serve as a role model by reinforcing and demonstrating the core values and behavioral expectations contained in Wells Fargo's Vision, Values & Goals.
      • Experience in Audit, Compliance, Risk and Testing
      • 5+ years of financial crimes testing experience
      • Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
      • Ability to work in a fast paced deadline driven environment
      • Experience working with internal and external auditors and examiners
      • Experience working with the Shared Risk Platform (SHRP)
      • Excellent verbal, written, and interpersonal communication skills
      • Strong organizational, multi-tasking, and prioritizing skills
      • Strong strategic and conceptual thinking skills
      • Strong analytical skills with high attention to detail and accuracy
      • Advanced Microsoft Office (Word, Excel, Outlook and PowerPoint) skills
      • Critical Thinking and Analytical skills
      • 2+ years of experience with Issue Management
      • Ability to read and understand complex regulatory and policy requirements.
      • Knowledge and understanding of financial crimes regulations.
      • Strong risk management leadership skills including the ability to influence effectively in a matrix environment. Job Expectations: Posting Locations:
        • Charlotte, NC
        • Irving, TX
        • West Des Moines, IA
        • Minneapolis, MN
        • Tempe, AZ
        • St Louis MO Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered for current Wells Fargo employees 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, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. 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.

Keywords: Wells Fargo, Irving , Lead Independent Testing Officer, Accounting, Auditing , Irving, Texas

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