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Senior Lead Auditor

Company: Wells Fargo
Location: Phoenix
Posted on: June 15, 2019

Job Description:

Job DescriptionAt 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.

Audit Services 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.

Audit Services is separated into individual audit teams, each led by an Executive Audit Director (EAD). These teams include:

  • Corporate Risk and Capital Management, (CRCM) which is comprised of Operational Risk, Compliance Risk, Enterprise Risk, Credit Risk, Model Risk, Capital Adequacy, Basel, and Capital Regulatory Reporting teams.
  • Consumer Banking Audit Team (CBAT), supporting consumer businesses, payments, virtual solutions, and innovation. Also includes the Remediation Coverage Program, driving remediation activities across WFAS.
  • Enterprise Technology Audit Group (ETAG), supporting information technology and security across the company- for team members and customers.
  • Enterprise Functions, which is comprised Finance & Corporate Activities (FCA), supporting Resolution and Recovery Planning, Corporate Treasury, Accounting and Financial Reporting and Regulatory Reporting and Conduct and Sales Practices (CSP).
  • Financial Crimes Audit Team (FiCAT), supporting compliance for Bank Secrecy Act, Anti- Money Laundering, Fraud and Global Anti-Corruption.
  • Shared Services Audit Team (SSAT), supporting cross-functional activities, including enterprise testing, data innovations and data analytics.
  • Strategy & Operations (SAOG), provides operations, infrastructure, guidance, support, development and strategy for all audit teams.
  • Wealth and Investment Management (WIM), supporting business lines supporting affluent advising, lending, fiduciary, and investment services.
  • Wholesale Banking (WHLS), supporting business lines supporting middle-market, corporate, and institutional businesses.

    We offer traditional audit roles on our various line of business teams and non-traditional roles that support teams through audit professional practices, coverage coordination, subject matter expertise, and methodology change groups. While audit skills are a primary need, teams also seek potential candidates who can demonstrate subject matter knowledge of Regulatory Compliance including BSA/AML, Basel, operational risk, data analytics, credit functions, stress testing, model risk, customer remediation, and Information Technology General Controls (ITGC).

    Specific Duties:

    • Leads execution of the audit process primarily as auditor in-charge and may participate in audit testing to provide subject matter knowledge and skills.
    • Identifies and assesses key risks and controls and develops effective test plans for engagements as assigned with limited guidance.
    • Exhibits appropriate judgment regarding issue notification, prepares draft findings to line of business management, and drafts final audit reports for review by the Engagement Supervisor and Senior Audit Manager.
    • Demonstrates depth and breadth of knowledge of business lines including operational, financial, regulatory, and technology impact.
    • Utilizes knowledge that expands across multiple businesses and in subject matter areas.
    • Leads projects ranging in size and complexity based upon level of experience. Evaluates and provides appropriate solutions for problems.
    • Demonstrates professional skepticism.
    • Presents audit results in an objective and unbiased manner.
    • Writes opinions reflecting relevant facts that lead to logical conclusions.
    • Escalates significant risk exposures to appropriate levels of management.

      Required Qualifications

      • 4+ years of experience in one or a combination of the following: audit, control testing, control and risk identification, or audit analysis

        Desired Qualifications

        • Audit experience at a financial institution or accounting firm
        • A BS/BA degree or higher
        • Ability to obtain or currently hold one or more of the following certifications: CIA, CISA, CPA, CAMS, or CRCM
        • Solid knowledge and understanding of audit methodologies and 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

          • Experience leading and providing feedback to staff on audit projects or engagements. Similar to Auditor in Charge responsibilities.
          • Specialization in areas such as Regulatory Compliance including BSA/AML, Basel, operational risk, data analytics, credit functions, stress testing, model risk, customer remediation work, and Information Technology General Controls (ITGC).

            Job Expectations

            • Ability to travel up to 25% of the time

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

              NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC

              IA-West Des Moines: 800 S Jordan Creek Pkwy - West Des Moines, IA

              CO-Denver: 1700 Lincoln St - Denver, CO

              MN-Minneapolis: 600 S 4th St - Minneapolis, MN

              AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ

              PA-Philadelphia: 1 S Broad St - Philadelphia, PA

              CA-SF-Financial District: 420 Montgomery - San Francisco, CA

              TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX

              MO-Saint Louis: 2801 Market St - Saint Louis, MODisclaimerAll 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, Phoenix , Senior Lead Auditor, Accounting, Auditing , Phoenix, Arizona

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