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Enterprise Testing Officer-WIM Testing and Validation

Company: Wells Fargo
Location: Hicksville
Posted on: March 3, 2020

Job Description:

Job Details Company Overview 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. Wealth and Investment Management Testing and Validation: Wealth and Investment Management (WIM) provides a full range of personalized wealth management, investment and retirement products and services to clients across U.S.-based businesses including Wells Fargo Advisors, The Private Bank, Abbot Downing, Trust Services and Wells Fargo Asset Management. We deliver financial planning, private banking, credit, investment management, and fiduciary services to high-net-worth and ultra-high-net-worth individuals and families. We also serve customers' brokerage needs, supply retirement and trust services to institutional clients, and provide investment management capabilities delivered to global institutional clients through separate accounts and the Wells Fargo Advantage Funds. The WIM Testing & Validation (T & V) function performs regulatory compliance and operational risk testing and issue validation across all the WIM businesses. The Role: The WIM T & V Enterprise Testing Officer (Officer) will be responsible for executing a risk-based control testing program to assess compliance with significant regulatory requirements and applicable corporate policies as well as assessing the design and operational effectiveness of business processes. The Officer must ensure adherence to the Independent Monitoring, Testing, and Validation Policy as well as other associated polices such as the Issue Management Policy. The Officer leads and executes higher risk, complex or WIM-wide review activities/engagements in a matrixed environment, and communicates emerging risks to management. The Officer may create or assist with creating schedules for reviews. The Officer performs effective and timely testing-related independent credible challenge internally; completes all documentation and appropriately retains all work papers (testing schedule, templates, work-papers, deferrals, deviations, etc.); and, escalates issues identified during review. The Officer may also lead implementation of initiatives with moderate to high risk. This position reports to an Enterprise Testing Sr. Manager or Manager. Required Qualifications - 7+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management Desired Qualifications - Ability to articulate complex concepts in a clear manner - Advanced Microsoft Office skills - Excellent verbal, written, and interpersonal communication skills - Strong analytical skills with high attention to detail and accuracy - Ability to motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment - Solid critical thinking skills Other Desired Qualifications - 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 - Demonstrated ability to establish strong working relationship with key partners and senior management - Sound analytical, strategic, critical thinking and problem-solving skills, including a proactive and creative problem solving attitude and approach - Audit, Risk or regulatory examination experience and knowledge of the laws, rules and regulations applicable to WIM is strongly preferred - A working knowledge of the WIM lines of business is desired - A BS/BA degree or higher in business administration, economics, accounting, finance, or other business related field - Experience in Audit, Compliance, Risk and Testing Street Address NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC NC-Charlotte: 301 S Tryon St - Charlotte, NC NC-Charlotte: 401 S Tryon St - Charlotte, NC NC-Charlotte: 550 S Tryon St - Charlotte, NC NC-Charlotte: 301 S College St - Charlotte, NC SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC IA-Des Moines: 800 Walnut St - Des Moines, IA IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA MN-Minneapolis: 600 S 4th St - Minneapolis, MN TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO CA-SF-Financial District: 525 Market St - San Francisco, CA NY-Hicksville: 100 Duffy Ave - Hicksville, NY 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. Recommended skills Finance Accounting Critical Thinking Scheduling Complex Problem Solving Analytical

Keywords: Wells Fargo, Hicksville , Enterprise Testing Officer-WIM Testing and Validation, Accounting, Auditing , Hicksville, New York

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