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Senior Audit Manager

Company: Wells Fargo
Location: Denver
Posted on: July 13, 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 Services 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.

Senior Audit Manager Corporate Risk and Capital Management (CRCM) Compliance Risk Subject Matter Specialist

Wells Fargo Audit Services (WFAS) has an opening for one Senior Audit Manager (SAM) to lead our Compliance Risk Subject Matter Specialist team. They are part of a broader team responsible for coverage of Corporate Risk and Capital Management across the enterprise. Corporate Risk serves as the "second line of defense" ensuring that all Wells Fargo corporate functions and lines of business soundly manage risk, comply with applicable laws and regulations, and offer products and services that meet the needs of our customers. The Compliance Risk team supports audit coverage of compliance risk across the enterprise. This includes partnering with others to ensure compliance risk is covered appropriately on each of the line of business audit teams (Wholesale, Consumer, Wealth and Investment Management, Enterprise Functions). Additionally they are responsible for the audit coverage of Corporate Risk Compliance Risk work including functions of Control Executives. The SAM position will have responsibility for supporting the Compliance Risk Audit Director and managing a team of compliance subject matter specialists (5 team members) that maintain expertise on regulations (consumer and wholesale/brokerage) and partner with the various lines of business audit teams as they plan and execute their audits and manage their compliance issue validation efforts.

This position will be accountable for managing the workload of this specialist team, helping to drive and maintain the compliance audit methodology, ensuring a comprehensive training program is in place for all compliance coverage, maintaining all compliance standard audit programs, and facilitating meetings with the other audit teams. This team will also manage processes around assessing regulatory changes for WFAS impact, corporate policy reviews, and monitoring compliance coverage across WFAS. They will work across WFAS teams and with senior-level leaders within WFAS and our business lines building strong partnerships.

The SAM will also be expected to lead team members providing feedback, coaching, and development guidance. SAM accountabilities include:


  • Develops and implements coverage strategy and delivery for their assigned responsibility.
  • Develops and maintains strong, positive relationships with business partners, regulators, third parties, and other internal WF/WFAS teams.
  • Ensures audit engagements are risk-based, and executed according to Wells Fargo Audit Services policies and guidance.
  • Develops a comprehensive understanding of risk and processes that manage risk at Wells Fargo.
  • Evaluates current audit approaches and practices, providing thought leadership on industry best practices and regulatory changes, and driving continued maturation and evolution of the audit function.• Identifies thematic risk trends observed across the enterprise for purposes of influencing strategic control direction and process maturity.
  • Represents WFAS as a highly engaged, visible, and influential leader.

    The successful candidate for this role will demonstrate experience leading and coaching audit teams and have an understanding of and experience in enterprise risk management. They will be effective builders and leaders of high performing teams focused on driving business results through collaborative leadership and team member engagement; keep up with fast paced organizational change, managing and caring for team members through that change; contribute to WFAS strategies with a One Wells Fargo lens; and further the strong risk management culture of Wells Fargo, living the vision, values, and goals of Wells Fargo.The collaborative leader must be capable of initiating action and possess strong execution and relationship management skills across all levels and functions, as well as with the regulators. A key differentiator will be the ability to understand and operate successfully in a complex, heavily matrixed corporate environment. The role requires a sense of urgency, passion for excellence and results, and personal accountability for achievement and outcomes

    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


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




        Desired Qualifications


        • Audit experience at a large financial institution or auditing company.
        • A BS/BA degree or higher in accounting, finance, or business administration
        • Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
        • Leadership experience for professional auditors, risk management, or project leadership professionals
        • Solid knowledge and understanding of audit methodologies and tools that support audit processes
        • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
        • Excellent verbal, written, and interpersonal communication skills
        • Strong organizational, multi-tasking, and prioritizing skills
        • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
        • Solid problem solving skills




          Other Desired Qualifications


          • Proven leadership experience with multi-functional teams across multiple locations
          • Good understanding of Institution of Internal Audit (IIA) standards, regulatory requirements, and industry guidelines


            Job Expectations


            • Ability to travel up to 25% of the time




              DisclaimerAll 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, Denver , Senior Audit Manager, Executive , Denver, Colorado

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