Wells Fargo is seeking an Audit Management Senior Manager for the Financial Crimes Audit Team. The Financial Crimes Audit Team (FiCAT) performs horizontal audit coverage of financial crimes risk across Wells Fargo lines of business. FiCAT performs independent testing for the Bank Secrecy Act, OFAC and Anti-Money Laundering compliance. FiCAT oversees, manages, and executes BSA/AML/OFAC related audits across Wells Fargo lines of business, and evaluates the system of internal controls and processes related to financial crimes. FiCAT is responsible for testing governance and coordinating first line audit coverage of Anti-Bribery and Corruption regulations.

In this role you will:

• Manage a team of audit staff responsible for a defined segment of the Audit Plan
• Responsible for resource management and assisting broader team in overall audit plan completion
• Assess associated risks and controls and complete engagements within their segment of the audit plan
• Plan and organize work in an annual cycle, not just project cycle
• Ensure audit engagements are risk-based, and executed according to Internal Audit policies and guidance
• Build and maintain a proficient team of auditors
• Provide timely feedback, coaching and monitoring of development plans
• Develop and maintain excellent business relationships with leadership and other stakeholders, such as regulatory agencies
• Manage allocation of people and financial resources for Audit
• Develop and guide a culture of talent development to meet business objectives and strategy

Required Qualifications, US:

• 6 years of Audit, Risk experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 3 years of management experience

Desired Qualifications:

• A BS/BA degree or higher
• Financial crimes experience, including diverse BSA/AML and Sanctions experience across the various areas of an enterprise-wide BSA/AML and Sanctions program
• Solid knowledge and understanding of audit methodologies and supporting tools
• Strong understanding of financial regulatory environment
• Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
• Experience at a financial institution or accounting firm
• Experience leading and providing feedback to staff on audit projects or engagements
• Experience with Issue Validation and Remediation
• Excellent verbal, written, and interpersonal communication skills
• Preferred experience with innovation, data analytics, automation, or continuous auditing
• Previous experience engaging, collaborating, and influencing with senior leaders and line of business staff
• Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment
• Ability to interact with Audit management and team members, business partners and regulators successfully
• Experience developing people and building the talent pipeline in a growing and changing environment
• Specific knowledge and experience performing and managing Audit testing of KYC/CDD/EDD controls

Job Expectations:

• Ability to travel up to 10% of the time

• This position is not eligible for Visa sponsorship

New York City - Pay range: $144,400.00 - 300,000.00 Annually

Pay Range

Benefits

Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future. Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.

• 401(k) Plan
• Paid Time Off
• Parental Leave
• Critical Caregiving Leave
• Discounts and Savings
• Health Benefits
• Commuter Benefits
• Tuition Reimbursement
• Scholarships for dependent children
• Adoption Reimbursement

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.