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Enterprise Testing Associate - Wealth and Investment Management

Company: Wells Fargo
Location: Charlotte
Posted on: February 16, 2020

Job Description:

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 prior to 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.
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 group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards, and executing group-specific testing.
The Wealth and Investment Management Testing & Validation (WIM T&V) team, under Enterprise Testing, is seeking an experienced compliance or audit professional to join the Team. The Enterprise Testing Associate role will be responsible for control testing to ensure compliance with regulatory requirements and corporate policies, in alignment with the Risk Management Framework and according to standards in the Independent Monitoring, Testing and Validation Policy and other applicable policies.
This position reports to an Enterprise Testing Associate Manager or Manager.
Specific job responsibilities will include, but are not limited to the following:

  • Execute group-specific control testing in accordance with T&V methodology and standards, including assessments of design and operating effectiveness
  • Participate as a tester or co-lead on reviews of varied complexity and regulatory risk exposure
  • Evaluate the adequacy and effectiveness of policies, procedures, initiatives, and internal controls
  • Thoroughly document test work and reports
  • Identify issues and communicate/consult with various levels of management to ensure corrective actions address root cause and meet corporate sustainability requirements
  • Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedure concerning all compliance functions reviewed
  • Testing practices will include: regulatory control testing, operational control testing, and corrective action validationsPlease note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

    Required Qualifications
    • 2+ years of experience in risk (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management demonstrated through work or military) or 1+ year in the foregoing or financial services industry and a BS/BA degree or higher in business or a related field

      Desired Qualifications
      • Intermediate 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 prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • A BS/BA degree or higher in business administration, economics, accounting, finance, or other business related field
      • Knowledge and understanding of financial services industry: compliance, risk management, or audit operations
      • Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; and identifying issues resulting from internal and/or external compliance examinations

        Other Desired Qualifications
        • 1+ year of formal/direct audit or regulatory control testing experience
        • 1+ year of Big 4 or regional firm public accounting experience
        • An active Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Chartered Financial Analyst (CFA) designation
        • Ability to think independently and bring credible challenge to the risk management status quo
        • Exposure to wealth investment management or fiduciary businesses

          Street Address
          MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
          MN-Minneapolis: 600 S 4th St - Minneapolis, MN
          NC-Charlotte: 401 S Tryon St - Charlotte, NC
          NC-Charlotte: 301 S Tryon St - Charlotte, NC
          NC-Charlotte: 550 S Tryon St - Charlotte, NC
          NC-Charlotte: 301 S College St - Charlotte, NC
          TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX

          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.

Keywords: Wells Fargo, Charlotte , Enterprise Testing Associate - Wealth and Investment Management, Executive , Charlotte, North Carolina

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