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Job Title: Enterprise Testing Assoc
Company Name: Wells Fargo
Location: Philadelphia, PA
Position Type: Full Time
Post Date: 02/21/2020
Expire Date: 04/03/2020
Job Categories: Accounting/Auditing, Finance/Economics, Financial Services, Information Technology, Insurance, Law Enforcement, and Security, Legal, Military, Executive Management, Quality Control, Research & Development
Job Description
Enterprise Testing Assoc
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 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 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.

The Wealth and Investment Management (WIM) Testing & Validation (T&V) function performs regulatory compliance and operational risk testing and issue validation across all the WIM businesses, including Wells Fargo Advisors, The Private Bank, Abbot Downing, Wells Fargo Institutional Retirement and Trust, and Wells Fargo Asset Management.

The WIM Financial Crimes Testing Associate will be responsible for, but not limited to the following duties:

  • Support the WIM Financial Crimes Testing Leader in performing risk-based compliance control testing to assure compliance with financial crimes-related regulatory requirements and corporate policies applicable to the Wealth and Investment Management businesses. This includes areas such as Know Your Customer (KYC), suspicious activity reporting (SAR), sanctions and screening, etc.
  • Executes review activities in an effective manner and communicates potential emerging risks appropriately. Participates in review activity engagements in a matrix environment, and communicates emerging risks to management.
  • Completes review activities on schedule. Raises schedule delays to the review activity Lead.
  • Escalates any potential issues discovered during the completion of review activities to a review Lead, and follows through on reporting, escalation, and resolution.
  • Completes all documentation under supervision and appropriately retains all work papers, (testing schedule, templates, work-papers, deferrals, deviations, etc.).
  • Supports and implements initiatives with low to moderate risk.  Internal interaction with team to support risk oversight and monitoring. Works independently and does not manage other team members.


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



Other 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
  • A BS/BA degree or higher in business, finance, or economics
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Knowledge and understanding of audit methodologies and tools that support audit processes
  • Experience in audit or compliance testing
  • An active certification: Certified Internal Auditor (CIA), Certified Anti Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), or Certified Public Accountant (CPA)
  • Exposure to compliance and regulatory controls in a financial services environment
  • Ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas
  • Experience in Audit, Compliance, Risk and Testing
  • Critical Thinking and Analytical skills


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.

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Contact Information
Company Name: Wells Fargo
Website:https://ad.doubleclick.net/ddm/clk/418092397;252059082;l?https://www.wellsfargojobs.com/job/-/-/1251/14902771?utm_source=hbcuconnect.com&utm_campaign=enterprise_media&utm_medium=niche_site&utm_content=job_posting&ss=paid
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